[Federal Register Volume 63, Number 139 (Tuesday, July 21, 1998)]
[Notices]
[Pages 39195-39196]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-19467]


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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION


Electronic Records Work Group Draft Report; Appendix D

AGENCY: National Archives and Records Administration (NARA).

ACTION: Request for comment.

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SUMMARY: This notice contains the Electronic Records Work Group's 
proposed Appendix D. Appendix D addresses the second Work Group 
recommendation, that NARA modify the General Records Schedules (GRS) to 
authorize the destruction of copies of administrative records covered 
by those GRS that are not needed for recordkeeping purposes after a 
recordkeeping copy has been produced. This appendix proposes a new item 
to be added to General Records Schedules 1-16, 18, and 23 to provide 
the disposition authority previously provided by GRS 20.
    Because the proposed disposition for these GRS records is being 
published in full text for public comment as part of this notice, the 
Work Group believes that this notice will serve as the Federal Register 
notice required by 44 U.S.C. 3303a. Therefore, the Work Group believes 
that NARA will not need to publish a separate Federal Register records 
schedule notice for this GRS change unless the GRS disposition language 
is revised substantively in response to comments and the Archivist 
determines that additional public comment is warranted.

DATES: Comments must be received on or before August 20, 1998.

ADDRESSES: Comments may be sent electronically to the e-mail address 
<[email protected]. We ask that lengthy attachments be 
sent in ASCII, WordPerfect 5.1/5.2, or MS Word 6.0 format. If you do 
not have access to e-mail, comments may be mailed to Electronic Records 
Work Group (NPOL), Room 4100, 8601 Adelphi Rd., College Park, MD 20740-
6001, or faxed to 301-713-7270.

FOR FURTHER INFORMATION CONTACT: Michael Miller at 301-713-7110, ext. 
229.

SUPPLEMENTARY INFORMATION: In addition to your comments on the proposed 
GRS changes which are presented in Appendix D at the end of this 
notice, we also ask your comments on the following question:
    D1. Are the definition of program records and administrative 
records clear?

    Dated: July 16, 1998.
Lewis J. Bellardo,
Deputy Archivist of the United States.

Appendix D: Proposal To Revise The Entire GRS To Cover all Formats 
of the Administrative Records Included Therein

Background

    In the 1995 edition of the General Records Schedules, GRS 20, items 
13, 14 and 15, authorized the deletion of electronic source records 
that remained on electronic mail and word processing systems after a 
record was produced for inclusion in a recordkeeping system. The 
disposition of the recordkeeping system would be governed by a separate 
GRS or agency schedule item. This authority was challenged in a court 
suit on the basis that the GRS cannot provide Governmentwide 
authorization for destruction of electronic mail messages and word 
processing records that qualified as program records. As stated in the 
draft report of the Electronic Records Work Group, the Archivist has 
determined that the GRS will be limited to common administrative 
records, and he charged the Electronic Records Work Group to develop 
guidance to distinguish between administrative and program records. 
This appendix provides that guidance and recommends changes to the GRS 
to replace GRS 20, items 13, 14, and 15, and include other source 
records.

Proposed Definitions

    Program records are those records created by each Federal agency in 
performing the mission of the agency. The agency's mission is defined 
in enabling legislation and further delineated in formal regulations.
    Administrative records are those records created by several or all 
Federal agencies in performing common facilitative functions that 
support the agency's mission activities, but do not directly document 
the performance of mission functions. Administrative records relate to 
activities such as budget and finance, information management, human 
resources, equipment and supplies, facilities, public and congressional 
relations, contracting, and legal matters not directly related to the 
agency's core mission (e.g., adherence to general statutes such as laws 
on procurement, privacy, and government ethics).
    While both program and administrative records are needed for the 
agency to accomplish its mission, the distinction is important for the 
scheduling of an agency's records.

Discussion

    The General Records Schedules (GRS) issued by the National Archives 
and Records Administration (NARA) in accordance with 36 CFR 1228.40 
apply to certain administrative records created by several or all 
agencies. Their purpose and maintenance requirements are generally 
standard from agency to agency. The GRS provide mandatory disposition 
authority for those records, unless an agency receives an exception 
from NARA.
    All program records and administrative records not covered by a GRS 
must be scheduled by the creating agency. Many agencies have records 
relating to administrative functions that are not described in the GRS. 
These records may supplement the records covered by the GRS or they may 
be organized or maintained in a way that

[[Page 39196]]

make application of the GRS inappropriate. If records described in the 
GRS are part of a larger file series and cannot be economically 
segregated, the agency schedule for the series, not the GRS, would 
control the disposition of the entire series. Agencies also have 
administrative records that are not appropriate for GRS coverage 
because the content or organization of the files may vary significantly 
from agency to agency, such as records relating to the selection of 
political appointees (see NARA Bulletin 95-6).
    The Work Group recommends that a new item be added to GRS 1-16, 18, 
and 23, to authorize disposal of the source records used to produce 
records maintained in those GRS recordkeeping systems, after a 
recordkeeping copy has been produced. These source records will include 
electronic source records generated using electronic mail, word 
processing, and other office automation systems. This authority is 
needed because the electronic source record that remains on the office 
automation application is a record, in addition to the record in the 
recordkeeping system.
    This new item is appropriate for inclusion in the GRS because the 
GRS applies only to administrative records. This new item is 
recommended because unlike unique agency program records, the Work 
Group believes that the electronic source records of records covered by 
the GRS have virtually no potential for unique or added value. 
Consequently, unlike program records, the source records need not be 
appraised in a series-based manner. (This authority would not be added 
to GRS 17 and 21 because they cover cartographic, architectural, and 
audiovisual records. Even though such nontextual records may be 
generated in digital format, NARA needs to conduct further study before 
determining whether electronic source records should be added to these 
two GRS. GRS 19, Research and Development Records, was withdrawn in a 
previous edition of the GRS, and NARA has decided to withdraw GRS 22, 
Inspector General Records, in the next edition.)
    The new item proposed by the Work Group would align the disposition 
authority for the source records with records documenting a specific 
administrative function, as opposed to providing one GRS authority 
across functional areas, as was done in the 1995 edition of GRS 20. It 
will provide authority for deletion of the source records, including 
those that are maintained on office automation applications apart from 
an agency recordkeeping system. The new item will be applicable to 
source records in all physical formats that the agency does not 
maintain in a recordkeeping system. However, the item will authorize 
deletion of source records maintained apart from the recordkeeping 
system only after a recordkeeping copy is produced. The item will not 
apply to the records in a recordkeeping system.

Proposed Changes

1. General Introduction to the GRS

    Replace:

``As provided in GRS 20, Electronic Records, the disposal instructions 
for most records in the remaining schedules are applicable to both hard 
copy and electronic versions of the records described. GRS 20 specifies 
several exceptions to this authority. In those cases, the electronic 
version of the file must be scheduled by submission of an SF 115 to 
NARA.''
    With:

``The items in GRS 1-16, 18, and 23, apply to records that contain the 
information described in the schedule. The coverage is neutral with 
respect to the recording medium. The specified retention periods apply 
to the records described in each item which are maintained in a 
recordkeeping system, regardless of the physical medium used to 
maintain the records. In addition, an item in each of those schedules 
provides authority for agencies to destroy/delete source records after 
a record has been produced for inclusion in the appropriate 
recordkeeping system.''

2. New Item to be Added at the End of GRS 1-16, 18, and 23

    ``Records Maintained Apart From a Recordkeeping System.''
    ``Records, including electronic source records, used to generate 
the records covered by the other items in this schedule which cover the 
records in an agency recordkeeping system. Includes records in all 
formats/media that are used as sources for the creation of the record 
maintained in a recordkeeping system, such as electronic records that 
remain on electronic mail and word processing utilities after the 
record for the recordkeeping system has been produced.
    ``Destroy/delete after the recordkeeping copy has been produced. 
Electronic source records may be maintained for a limited period of 
time for operational purposes other than recordkeeping, such as 
updating.''

3. New Paragraph to be Added to the Introductions to GRS 1-16, 18, AND 
23

``A new item has been added to this schedule to authorize the 
destruction of source records, regardless of physical format, that are 
maintained in addition to the record in an agency recordkeeping system. 
This item covers records that are used to create the recordkeeping 
copy, e.g., the electronic record that remains on electronic mail and 
word processing utilities after a record has been produced for 
inclusion in a recordkeeping system.''

[FR Doc. 98-19467 Filed 7-20-98; 8:45 am]
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