[Federal Register Volume 63, Number 139 (Tuesday, July 21, 1998)]
[Notices]
[Pages 39196-39202]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-19468]
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
Electronic Records Work Group Draft Report; Appendix E
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 general records schedule (GRS) to cover information technology
records common to many or all Federal agencies. The proposed GRS would
implement the Work Group's proposed recommendation that NARA should
revise GRS 20 disposition authorities to cover only systems
administration (or systems management) and operations records and that
the new schedule should cover only administrative records. Agency
systems records for program (mission-related) activities will not be
covered by the proposed GRS.
The Work Group intends to recommend to the Archivist a proposed new
GRS for information technology records based on the comments received
during this comment period. Because we expect a number of comments on
fundamental issues relating to the approach that the GRS should take
and the records that should be covered, we believe that the draft that
will be submitted to the Archivist of the United States in September
will require an additional Federal Register comment period before NARA
issues it in final form.
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.
[[Page 39197]]
FOR FURTHER INFORMATION CONTACT: Michael Miller at 301-713-7110, ext.
229.
SUPPLEMENTARY INFORMATION: The proposed GRS is contained in Appendix E,
which appears at the end of this document. Your comments are requested
on the proposed GRS and in response to the following questions:
E1. Do the items in the proposed GRS accurately describe records
with which you are familiar? Please identify any items (series) that do
not reflect systems administration records as currently practiced.
E2. Unlike GRS 20, this proposal divides records into more detailed
groupings and provides specific retentions for each. Is this helpful?
Would agencies prefer this approach with greater detail and separate
dispositions for each specific type of record, or an approach that
combines multiple detailed items into larger series with a single
disposition whenever appropriate?
E3. The proposed GRS is not presented in the format normally used
in the GRS. Do you find this chart format helpful?
E4. Would fewer, more uniform retention periods better suit agency
needs? Discussion: Some agencies have suggested that fewer, more
uniform retention periods that are tied to a specific date (e.g., when
3 years old) and not an event (e.g., after 3 backup cycles) are easier
to implement for series covered by a GRS.
E5. Does your agency have other information technology (IT) records
relating to administrative functions not described in this proposed GRS
that could be included in a GRS? You are reminded that the GRS will not
cover an agency's program (mission-related) records. For a complete
discussion of the distinctions between program records and
administrative records, please see the introduction to the draft
Appendix D, which is presented in a separate notice earlier in this
separate part.
Dated: July 16, 1998.
Lewis J. Bellardo,
Deputy Archivist of the United States.
Appendix E: Proposed General Records Schedule, Information
Technology Records
The Electronic Records Work Group has developed a preliminary draft
of a General Records Schedule that would provide disposition
authorities for records specifically related to the development,
management and operation of computer systems, and digital networks.
Records include those relating to system development and
implementation, computer and network operations and technical support,
office automation and user support, and data administration. The
schedule is designed to conform with common practices in information
technology (IT) management and operations.
The most significant differences between this draft schedule and
the 1995 version of GRS 20 is that the proposed draft GRS eliminates
disposition instructions for:
1. Electronic source records generated or received on e-mail and
word processing applications for all program and agency-unique
administrative records (items 13 and 14 in the 1995 GRS 20).
2. Electronic records that support administrative housekeeping
functions when the records are derived from or replace paper records
authorized for disposal in an agency-specific schedule (item 3b in the
1995 GRS 20).
3. Electronic source records scheduled for disposal under one or
more items in GRS 1-16, 18, and 23 (item 3a in the 1995 GRS 20).
Under the Work Group's second recommendation, NARA will include
coverage for the third item in revisions to those GRS (see appendix D),
but the first two items will have to be included in agency specific
schedules.
This preliminary draft also covers a wider variety of IT
operational records and the descriptions it includes more accurately
mirror current records and terminology. Because we believe that the IT
community should be encouraged to review the draft GRS, the Work Group
has formatted it in a style that we hope will be more familiar to them
than the traditional GRS format.
The Work Group seeks comments on both the items to be included and
the proposed retention periods, and reminds reviewers that GRS
retention periods are mandatory unless the agency receives a specific
exception from NARA.
When NARA issues a final version that reflects Federal agency and
public comments, it will follow the format normally used in the GRS.
Transmittal No. XX
General Records Schedule XX
General Records Schedule XX
Information Technology (IT) Records
Information Technology (IT) records include general administration
records of data processing units, systems development records, computer
operation and technical support records, data administration support
records, user and office automation support records, network and data
communication services records, and, Internet services records. (GRS
12, Communications Records is under review and will have to be modified
at a later date to address redundancies.) As defined in the Information
Technology Reform Act of 1996, the term ``information technology,''
with respect to an executive agency means ``any equipment or
interconnected system or subsystem of equipment, that is used in the
automatic acquisition, storage, manipulation, management, movement,
control, display, switching, interchange, transmission, or reception of
data or information by the executive agency.'' The term ``includes
computers, ancillary equipment, software, firmware and similar
procedures, services (including support services), and related
resources.''
This General Records Schedule for IT records does not cover
electronic records that support the agency's mission-related (program)
functions and activities. Program managers and staff are responsible
for developing and applying retention schedules to those electronic
records retained to meet program-specific requirements. Data processing
units are often the physical custodian of program IT records. Program
IT records must be retained to meet retention requirements specified by
the program area.
IT records not included in this schedule must be scheduled
separately by the program having the responsibility and authority to
determine their retention requirements and final disposition.
This schedule covers the records described in the following chart,
wherever located within an agency. Agencies should develop and
implement procedures for effective purging of electronic records from
automated information systems on a regular basis. Intermediate storage
of electronic records covered by this GRS can include down-loading them
to off-line storage media such as magnetic tapes or diskettes, prior to
final disposition, i.e., deletion or erasure. Records should be
destroyed when the retention period has been met, unless the records
are being used in an audit or legal action. Obsolete records consume
expensive office space and computer storage capacity, and they can
hinder efficient access and retrieval of current records.
[[Page 39198]]
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Authorized
Item No. Description of Records Disposition
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1.................... GENERAL ADMINISTRATION .....................
RECORDS
General Administration .....................
includes IT fiscal and
personnel administration,
planning, and the
coordination of
activities within IT
units and between an IT
unit and other parts of
an agency.
1 a................. General Information Destroy when 2 years
Technology Administrative old.1
Files. Correspondence and/
or subject files relating
to internal operation and
administration of IT
services matters not
covered elsewhere in this
schedule or in another
GRS.
1 b................. Information Resources Destroy 3 years after
Management (IRM) and Data the plan is
Processing Services completed,
Plans. Data processing superseded, or
services plans, and revised. Destroy
related records used to copies, drafts, and
plan for information routine material
systems development, when no longer
technology acquisitions, needed by agency.
data processing services
provision, or related
areas.
Records Not Covered: .....................
IRM strategic plans and .....................
Information Technology
Investment Reviews are
program records and must
be scheduled separately
by the agency.
1 c................. Data Processing Policies. Destroy 3 years after
Records of data policy is withdrawn,
processing policies revised, updated, or
including those covering superseded.
access and security,
systems development, data
retention and
disposition, and data
ownership.
Records Not Covered:
1. Data processing .....................
policies for specific
mission systems, which
must be scheduled
separately by the agency.
(Data processing policies
for specific systems that
are central to the
conduct of the agency's
mission may be permanent
records.).
2. Data processing
operating procedures (see
item 3a).
1 \2\ d............. Data Center Records of Destroy when 3 years
Calculating Charge--backs old.
to Data Processing
Services Users.
Electronic and manual
records used to document,
and calculate costs, for
computer usage and data
processing services.
These records are also
used for cost recovery,
budgeting, or
administrative purposes.
1 \3\ e............. Data Center Billing Destroy when 3 years
Records. Reports and old.
other records detailing
charges for use of
computer services
including monthly billing
reports, copies of
vouchers and bills.
Note: Before disposing of .....................
these records, agencies
must ensure that no legal
actions have been
initiated which might
require access to them.
If a case-by-case review
of files is impractical,
the records should be
retained an additional 3
months beyond the minimum
retention period.
2.................... SYSTEMS DEVELOPMENT .....................
RECORDS
Systems development covers .....................
the IT functions related
to the development,
redesign, modification,
procurement, and testing
of administrative systems
as well as to maintaining
the documentation
generated by these
processes.
Note: Records documenting
specific agency mission
systems are NOT covered
by items 2a through 2c,
and will need to be
scheduled separately by
the agency.
2 a................. Systems Development Destroy 3 years after
Project Files. Records completion of
created and used in the project.
development, redesign, or
modification of an
automated system for
administrative functions
including project
management records,
status reports, draft
system or subsystem
specifications, draft
user requirements and
specifications, and
memoranda and
correspondence.
2 \4\ b............. Data Systems Destroy 3 years after
Specifications. User and discontinuance or
operational documentation replacement of the
for administrative system, or after all
systems describing how a records on the
system operates from a system are either
functional user and data successfully
processing point of view migrated to a new
including records system or final
documenting data entry, disposition actions
manipulation, output and on them are
retrieval (often called completed, whichever
``system documentation is later.
records''), records
necessary for using the
system, including user
guides, system or sub-
system definitions,
system flowcharts,
program descriptions and
documentation, job
control or work flow
records, system
specifications, and input
and output specifications.
2 c................. Data Documentation. Data Destroy 3 years after
system and file discontinuance of
specifications created system or after
during development or system's data is
modification of destroyed or
administrative systems transferred to a new
and necessary to access, structure or format,
retrieve, manipulate and whichever is later.
interpret data in an
automated system.
Includes data element
dictionary, information
directories, database
directories, file layout,
code book or table, and
other records that
explain the meaning,
purpose, structure,
logical relationships,
and origin of the data
elements.
Note: In some cases,
agencies will retain data
for extended periods,
sometimes off-line. It is
essential that they
retain related
documentation in an
accessible format.
2 \5\ d............. Automated Program Listing/ Retain for 3 system
Source Code. Automated update cycles after
program code which code is superseded
generates the machine- or replaced, then
language instructions destroy.
used to operate an
automated information
system.
Note: This item coincides
with item 3e, System
Backup Files. It assumes
that the files are
maintained (backed-up)
and disposed in
accordance with accepted
data processing practice;
i.e., that 3 generations
of backups be retained
(see item 3e). If this
item is adopted into the
GRS, there will be a note
excluding code created to
``fix'' Year 2000
problems.
2 e................. Technical Program Destroy 1 year after
Documentation. Paper copy replacement,
of program code, program modification, or
flowcharts, program related programs
maintenance log, system cease to be used.
change notices, and other
records that document
modifications to computer
programs.
2 \6\ f............. Information Technology
Procurement Files.
Records used in the
procurement of system
hardware and software
including request for
proposals, proposals,
quotations and bids,
benchmark/acceptance
testing information,
correspondence, duplicate
copies of contracts,
purchase orders,
technical reviews, and
vendor information
including references and
literature on the firm or
product line..
[[Page 39199]]
(1) Contract-related Destroy 6 years after
records.7. expiration of the
contract.
(2) All other records..... Destroy 3 years after
completion of the
purchase.
2 g................. Test Database/Files. Destroy after user
Routine or benchmark data accepts and
sets, related management reviews
documentation, and test and approves test
results constructed or results, or when no
used to test or develop a longer needed for
system. operational
purposes, whichever
is later.
3.................... COMPUTER OPERATIONS AND .....................
TECHNICAL SUPPORT RECORDS
Computer operation and .....................
technical support covers
the IT functions related
to operating systems,
maintaining hardware and
software, system
security, data input
services, system backup,
tape library operations,
job and production
control, monitoring
system usage, and liaison
with hardware and
software vendors.
3 a................. Data Processing Operating Destroy 3 years after
Procedures. Records of procedure is
procedures for data withdrawn, revised,
entry, the operation of updated, or
computer equipment, superseded.
production control, tape
library, system backup,
and other aspects of a
data processing operation.
3 b................. Data Processing Hardware
Documentation.
(1) Records documenting Destroy after the
the use, operation, and agency no longer
maintenance of an uses related
agency's data processing hardware and all
equipment including data is transferred
operating manuals, to and made useable
hardware/operating system in new hardware
requirements, hardware environment.
configurations, and
equipment control systems.
(2) Routine records that Destroy when one year
do not contain old.
substantial information
on the maintenance
history or equipment.
3 c................. Operating System and Destroy 1 year after
Hardware Conversion successful
Plans. Records relating conversion.
to the replacement of
equipment or computer
operating systems.
3 \8\ d............. Disaster Preparedness and Destroy after
Recovery Plans. Records superseded by
related to the protection revised plan.
and reestablishment of
data processing services
and equipment in case of
a disaster.
Note: Agencies should .....................
store disaster
preparedness and recovery
plans in a secure area
off-site from the
computer installation to
which they refer.
3 e................. System Backup Files. Destroy after 3
Copies of master files or system backup
databases, application cycles.
software, logs,
directories, and other
records needed to restore
a system in case of a
disaster or inadvertent
destruction.
Records Not Covered: .....................
Backups used to document .....................
transactions or retained
for purposes other than
system security should be
scheduled by the
responsible program. For
fiscal systems, monthly
system backups are often
retained for the entire
fiscal year to provide an
audit trail, and annual
system backups are
retained to meet all
legal and fiscal
requirements in lieu of
copies of the individual
master files or
databases. These records
should be disposed using
items from General
Records Schedule 7--
Expenditure Accounting
Records, or, if they are
covered by specific
Federal audit
requirements requiring
longer records retention,
scheduled separately by
the appropriate program.
Note: It is advisable that
for many application
systems 2 or 3 copies of
backups be produced
during each cycle.
3 \9\ f............. System Users Access Destroy after the
Records. Electronic or individual no longer
textual records created has access to the
to control or monitor system and after
individual access to a audit requirements
system and its data for the records
created for security modified by that
purposes, including but individual have been
not limited to user met.10
account records, security
logs, and password files.
Note: Computer Usage
Records (item 3g) may
also serve some security
purposes
3 g................. Computer Usage Files. Destroy after 3
Electronic files or system backup
automated logs created to cycles.
monitor computer system
usage including but not
limited to log-in files,
system usage files,
charge-back files, data
entry logs, and records
of individual computer
program usage.
Records Not Covered:
Security logs and related
records (see item 3f)
3 h................. Summary Computer Usage Destroy when 1 year
Reports. Summary reports old.
and other paper records
created to document
computer usage for
reporting or cost
recovery purposes.
3 i................. Computer Run Scheduling Destroy when 1 year
Records. Records used to old.
schedule computer runs
including daily
schedules, run reports,
run requests, and other
records documenting the
successful completion of
a run.
3 j................. Data Processing Unit's Destroy after output
Copies of Output Reports. is distributed.
Data processing unit's
copy of output reports
produced for client
programs.
3 k................. Tape Library Records......
(1) Automated System Destroy after related
Files. Automated records records or media are
used to control the destroyed or
location, maintenance, withdrawn from the
and disposition of tape library.
magnetic media in a tape
library.
(2) Tape Library Control Destroy after
Records. Records used to superseded.
control the location,
maintenance, and
disposition of magnetic
media in a tape library
including list of
holdings and control logs.
3 l................. Reports on the Destruction Destroy after
of Files (``Scratch superseded or (if
Reports''). Records required) management
containing information on review and approval.
the destruction of files
stored on electronic
media in a tape library.
4.................... RECORDS CREATED TO
FACILITATE, OR CREATED IN
THE COURSE OF, PROCESSING
OR TRANSMITTING
ELECTRONIC RECORDS
[[Page 39200]]
Records created solely to
support computer
processing or
communications. Excludes
all records needed to
document program or
administrative functions.
4 a................. Input Documents. Destroy after all
Electronic and hard copy data has been
of records or forms entered into the
designed and used solely system and, if
for data input and required, verified.
control when the data
processing unit provides
centralized data input
services and original
records are retained by
the program.
Records Not Covered: .....................
Input records retained for
fiscal audit or legal
purposes, or, containing
information needed by a
program, should be
scheduled by the
responsible program.
Input records which serve
a fiscal audit purpose
may be covered by items
in General Records
Schedule 7--Expenditure
Accounting Records.
4 b................. Work/Intermediate Files. Destroy after the
Records used to transaction is
facilitate the processing completed.
of a specific job/run or
to create, update,
modify, transfer,
manipulate, or sort data
within an automated
system when all
transactions are captured
in a master file, central
file, valid transaction
file, or database, and
the file is not retained
to provide an audit trail.
Records Not Covered:
Intermediate files
retained to document
valid transactions, to
serve as an audit trail,
or needed for system
recovery backup.
4 \11\ c............ Valid Transaction Files. Destroy after 3
Records used to update database/master file
and/or document a backup cycles.
transaction in database
or master file including
valid transaction files,
Data Base Management
System (DBMS) log, update
files, and similar
records, and not retained
to document a program
action or for fiscal
audit purposes.
Records Not Covered:
Records used to document a
program's actions (e.g.,
receipt of a voucher,
issuance of a check), as
opposed to a strictly
data processing
transaction, or needed
for fiscal audit or legal
purposes, should be
separately scheduled by
the responsible program.
4 \12\ d............ Print Files (Not Used to Destroy after all
Document a Transaction). print runs are
Source output data completed, output
extracted from the system verified (if
to produce hard copy required), and
publications, printouts agency has no need
of tabulations, ledgers, to reproduce the
registers, reports, or report.
other documents.
4 e................. Database Audit Trails. Destroy after 3
Data generated during the database/master file
creation of a master file backup cycles.
or database used to
validate a master file or
database during a
processing cycle.
4 f................. Summary Data Files. Destroy after data is
Summary or aggregate data distributed.
from a master file or
database and created
solely to distribute data
to individuals or
programs for reference
and use, but not altered
or augmented to support
program-specific needs.
Records Not Covered:
Summary files altered or
augmented to support
program-specific needs
should be separately
scheduled by the
responsible program.
4 g................. Extracted Data Files. Delete when the
Electronic files agency determines
consisting solely of they are no longer
records extracted from a needed for
single master file or administrative,
data base. legal, audit, or
other operational
purposes.
Records Not Covered:
Extract files (1) produced
as disclosure free files
to allow public access to
data; or (2) produced by
an extraction process
which changes the
informational content of
the source master file or
data base; or, (3)
records consisting of
extracted information
created from a master
file or data base that is
unscheduled; or (4)
extracted from a
permanent master file
that cannot be accessed
or no longer exists.
These extract records
should be separately
scheduled by the
responsible program.
4 h................. Finding Aids (Indexes) or Destroy after the
Tracking Systems. related hard copy or
Electronic indexes, electronic records
lists, registers, and have been destroyed.
other finding aids used
only to provide access to
the temporary hard copy
and electronic records in
the custody of the data
processing unit.
Records Not Covered:
Finding aids and tracking
systems of programs other
than data processing
units should be scheduled
by the responsible
program in conjunction
with the related program
records
5.................... DATA ADMINISTRATION
RECORDS
Data administration covers
IT functions related to
data administration
support including the
maintenance of data
standards, corporate data
models, and data
definitions and
dictionaries.
5 \13\ a............ Data/Database Dictionary Destroy after
Records. Usually in an discontinuance or
automated system, used to modification of the
manage data in an related application
agency's information or after the
systems including application's data
information on data is destroyed or
element definitions, data transferred to a new
structures or file structure or format,
layout, code tables, and whichever is later.
other data attribute
information or records
that explain the meaning,
purpose, logical
relationships, ownership,
use, or origin of data.
5 b................. Data/Database Dictionary Destroy when
Reports. Periodic superseded or when
printouts from a data/ data/database
database dictionary dictionary system is
system including data changed or
element attribute eliminated.
reports, database schema,
and related records used
for reference purposes.
Records Not Covered: .....................
The official copy of .....................
essential data
documentation is covered
by either item 2c or item
5a.
6.................... USER/OFFICE AUTOMATION
SUPPORT RECORDS
[[Page 39201]]
User/Office Automation .....................
Support refers to IT
functions that provide
work station support to
users of a mainframe or
office automation system,
including assisting users
to solve software and
hardware problems,
installing hardware or
software, providing
training, and the review
and recommendation of
software for agency use.
6 \14\ a............ Site/Equipment Support .....................
Files. Records
documenting support
services provided to
specific data processing
equipment or
installations.
(1) Site visit reports, Destroy when 3 years
problem and equipment old.
service reports, and
routine correspondence
and memoranda.
(2) Service histories and Destroy after the
other summary records. related equipment is
no longer in use.
6 \15\ b............ Help Desk Telephone Logs Destroy when 1 year
and Reports. Records used old.
to document requests for
technical assistance and
responses to these
requests as well as to
collect information on
the use of computer
equipment for program
delivery, security, or
other purposes.
6 c................. Training Course Destroy when 5 years
Information. Memoranda, old or 5 years after
flyers, catalogues, completion of a
registration forms, specific training
rosters, and other program.
records relating to
training courses run by a
data processing user
support or office
automation support unit.
6 d................. Software Review and Destroy after
Recommendation Files. software is no
Records related to the longer used by
review and agency.
recommendations for
software for agency use
including vendor
information, manuals,
software reviews, and
related material.
7 \16\............... NETWORK/DATA COMMUNICATION
SERVICES RECORDS
Network and Data .....................
Communication Services
covers IT functions
related to installing and
maintaining networks,
diagnosing and
coordinating problems on
the network, monitoring
circuit usage, and
liaison with General
Services Administration
and other network
providers. For related
records, see General
Records Schedule 12,
Communications Records.
7 a................. Network Site/Equipment .....................
Support Files. Records
documenting support
services provided to
specific sites and
computer to computer
interfaces on a network
including site visit
reports, trouble reports,
service histories, and
correspondence and
memoranda.
(1) Site visit reports, Destroy when 3 years
trouble reports, and old.
routine correspondence
and memoranda.
(2) Service histories and Destroy after the
other summary records. related equipment or
site is no longer in
use.
(3) Routine records that Destroy on an annual
do not contain basis.
substantial information
on the maintenance
history or site.
7 b................. Inventories of Circuits. Destroy after the
Automated or paper circuit is no longer
records containing used by agency.
information on network
circuits used by the
agency including circuit
number, vendor, cost per
month, type of
connection, terminal
series, software, contact
person, and other
relevant information
about the circuit.
7 \17\ c............ Network or Circuit Destroy 1 year after
Installation and Service request is filled or
Files. Copies of requests repairs are made.
for data communication Records that are
service, installation, or related to a legal
repair and related action are removed
records including work from the file and
orders, correspondence, filed elsewhere.
memoranda, work
schedules, copies of
building or circuitry
diagrams, and copies of
fiscal documents.
7 d................. Network Usage Files. Destroy after 3
Electronic files or system backup cycles
automated logs created to after creation.
monitor network usage
including but not limited
to log-in files and
system usage files.
7 e................. Network Usage Reports. Destroy 1 fiscal year
Summary reports and other after creation.
records created to
document computer usage
for reporting or other
purposes.
7 f................. Network Implementation Destroy after
Project Files. Agencies' superseded.
records used to plan and
implement a network
including reports,
justifications, working
diagrams of proposed
network, wiring
schematics, and diagrams.
8.................... INTERNET SERVICES RECORDS .....................
Internet Services covers .....................
records related to
providing and monitoring
services delivered and
received via the Internet.
8 a................. Agency Internet Services Destroy after 3
Logs. Electronic files or backup cycles, and
automated logs created to after relevant audit
monitor access and use of and documentation
agency services provided requirements have
via the Internet, been met, whichever
including, but not is later.
limited to, services
provided via an agency
gopher site, FTP (file
transfer protocol), or
World Wide Web agency
intranets/extranets, or
via agency Telnet
services.
8 b................. Employee Internet Use Destroy after 3
Logs. Electronic files or backup cycles, and
automated logs created to after review and
monitor and control use verification,
of the Internet WWW, whichever is later.
intranets, and extranets
by agency employees and
non-employee use logs of
agency extranets.
------------------------------------------------------------------------
\1\ Disposition authorities are stated in this draft as ``destroy when
__ years old'' or ``destroy __ years after [event]. The file should be
closed or ``cut off'' at the end of a fiscal year for the former types
of records and destroyed __ years later. The file should be closed or
cut off after the event for the latter types of records and destroyed
__ years after the end of the fiscal year in which the file was cut
off.
\2\ ISSUE: The records in item 1d are often more than ledger entries.
For example, item d can include charts correlating data processing
unit operational costs to: (1) the customer's actual or estimated
hours of use, (2) the customer's number of full time employees, or (3)
the customer's percentage of organization size. The Work Group seeks
comments on how agencies use these records to assist NARA in
determining whether item 1d should (A) be eliminated, (B) refer the
reader to GRS 7, item 2, or (C) changed the retention to ``Destroy 6
years and 3 months after the close of the fiscal year involved.''?
\3\ ISSUE: Should this item be deleted because the records already are
covered by GRS 6, Item 1a?
\4\ ISSUE: There are concerns about (1) splitting the developmental and
technical documentation, and (2) differentiating between systems and
applications for administrative functions. One of the challenges in
information technology is the documentation of systems and
applications to permit the engineers and programmers to make further
use of accumulated knowledge. Is there a way to encourage the
retention of information that will preclude ``reinventing the wheel''
with applications and systems engineering?
[[Page 39202]]
\5\ Programming changes can appear to work initially, but prove to have
problems over a longer period of time. The Work Group specifically
invites comments on whether 3 system cycles is sufficient for all
administrative systems. Retention of basic programming information can
be crucial with problems like the Year 2000 conversions. In contrast
to item 3e which contains ``copies of master files or databases,
application software, logs, directories, and other records needed to
restore a system in case of a disaster or inadvertent destruction,''
2d deals with the very basic operating system program. (2d is the
frame and foundation of the house; 3e is the brick, aluminum siding,
and drywall.)
\6\ This is not the official contract file maintained by the agency
procurement office and covered by GRS 3, item 3. Documentation
pertaining to system requirements in the RFP, the language used by the
vendor in proposals and quotes, and the benchmark/acceptance testing
information can substantially impact assessment of vendor performance.
Further, this can impact the specifications of future IT acquisitions.
\7\ ISSUE: Should this item be deleted because GRS 3, Item 3, already
covers all? Another alternative that has been proposed is to leave the
description here, but provide a cross reference to GRS 3, Item 3c.
\8\ Please see Schedule 18, Item 27.
\9\ Items 3 f, g, and h could be collapsed into one item. Comments on
the advisability of doing so are invited. For this draft, item 3f is
separate because it focuses upon an individual user (for example, a
procurement officer leaves the organization). Item 3g is a general log
used to spot substantial differences in volume of traffic. Use of item
3g may trigger an audit of item 3f records (for example, a 40%
increase in one unit's use may raise questions about why the increase;
next step, a look at item 3f). Item 3h is a summary report, used for
billing purposes.
\10\ ISSUE: Can this retention period be easily applied? Is it
appropriate for all administrative systems, including security-
classified ones?
\11\ Validity checks are routines in a data entry program that test the
input for correct and reasonable conditions, such as numbers falling
within a range and correct spelling, if possible. Valid transaction
files are the reports of those validity checks.
\12\ ISSUE: Disposition of item 4d is impossible to implement in the
case of print files that are automatically generated and deleted by
applications software. This may be a policy issue as to whether those
files should be automatically deleted by the applications software.
\13\ The disposition for Item 5a is for the operating system records;
Item 2c covers the records for planning the system.
\14\ In contrast to Item 2, which deals with systems application and
development, Item 6 addresses end user support records.
\15\ These logs can be invaluable in resolving customer complaints,
providing appropriate follow-up service, and spotting problem trends
in systems and networks.
\16\ GRS 12, Communications Records, is under review and will have to be
modified at a later date to address redundancies.
\17\ Network installation records are included because the history of
wiring in buildings, locations of switches, etc., has been a problem.
Recent building renovations have revealed that agencies have unused
phone lines, which are still live and costing money. Employees had
moved to new offices, received new phone numbers, and never had the
old phone lines disconnected.
[FR Doc. 98-19468 Filed 7-20-98; 8:45 am]
BILLING CODE 7515-01-P