[Federal Register Volume 63, Number 150 (Wednesday, August 5, 1998)]
[Notices]
[Pages 41868-41872]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-21023]


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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION


Changes to the General Records Schedules; Request for Comments

AGENCY: National Archives and Records Administration, Office of Records 
Services--Washington, D.C.

ACTION: Notice.

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SUMMARY: NARA is required by 44 U.S.C. 3303a(a) to provide an 
opportunity for public comment on proposed records schedules that will 
authorize the destruction of Federal records. This notice contains the 
full text of proposed changes to the General Records Schedules which 
are issued by NARA to provide mandatory disposal authorities for 
temporary administrative records common to several or all Federal 
agencies (44 U.S.C. 3303a(d)). NARA is departing from its normal 
practice of publishing notice of availability of records schedules in 
this instance in order to accelerate the review process and maximize 
the exposure of the proposed changes. This notice also includes the 
rationale for the proposed changes, equivalent to the appraisal report. 
Consequently, this notice provides all available information for 
interested parties who may wish to comment.

DATES: Comments must be received on or before September 4, 1998.

ADDRESSES: Comments may be sent electronically to the e-mail address 
<[email protected]>. If attachments are sent, please transmit 
them in ASCII, WordPerfect 5.1/5.2, or MS Word 6.0. Comments may also 
be submitted by mail to the Life Cycle Management Division (NWML), 
National Archives and Records Administration, 8601 Adelphi Road, 
College Park, MD 20740-6001, or by FAX to 301-713-6852 (attn: Marc 
Wolfe). In order for comments to be considered, the NARA registration 
number for this schedule--N1-GRS-98-2--must be included in a subject 
line or otherwise prominently stated.

FOR FURTHER INFORMATION CONTACT: Michael L. Miller, Director Modern 
Records Programs (NWM), National Archives and Records Administration, 
8601 Adelphi Road, College Park, MD 20740-6001. Telephone: 301-713-
7110. E-mail: <[email protected]>.

SUPPLEMENTARY INFORMATION: Each year Federal agencies create billions 
of records on paper, film, magnetic tape, and other media. To control 
this accumulation, agency records managers prepare schedules proposing 
retention periods for records and submit these schedules for NARA 
approval, using the Standard Form (SF) 115, Request for Records 
Disposition Authority. These schedules provide for the timely transfer 
into the National Archives of historically valuable records and 
authorize the disposal of all other records after the agency no longer 
needs the records to conduct its business. No Federal records are 
authorized for destruction without the approval of the Archivist of the 
United States. Two mechanisms are used to provide that approval--agency 
schedules and General Records Schedules. Agencies develop and submit to 
NARA for approval schedules for the records that are unique to the 
agency. Once approved by the Archivist, the agencies may apply the 
approved disposition authorities to the records for as long as they 
remain unchanged. To reduce the effort required of agencies in 
scheduling all their records, the National Archives and Records 
Administration issues

[[Page 41869]]

General Records Schedules to provide disposal authorities for temporary 
administrative records that are common to several or all agencies.
    The changes proposed in N1-GRS-98-2 consist of items that are 
currently scheduled with an indefinite retention, e.g., ``destroy when 
no longer needed.'' Because the Archivist has determined that 
indefinite retention periods are inappropriate for the GRS. N1-GRS-98-2 
was developed to replace the indefinite retention periods with more 
specific retention periods. In conducting the review of the GRS items 
with indefinite retention periods, NARA identified a few items that 
were described as ``duplicates'' or otherwise clearly nonrecord copies. 
These items will be deleted because a definitive Government-wide 
retention period cannot be applied to nonrecord materials, and the item 
numbers will be reserved to preserve the current numbering for the 
continuing authorities.
    The proposed schedule, N1-GRS-98-2, contains the following 
provisions:

GRS 1, Civilian Personnel Records

    4. Offers of Employment Files.
    Correspondence, including letters and telegrams, offering 
appointments to potential employees.
    a. Accepted offers.
    Destroy when appointment is effective.
    23. Employee Performance File System Records.
    a. Non-SES appointees (as defined in 5 U.S.C. 4301(2)).
    (3) Performance-related records pertaining to a former employee.
    (a) Latest rating of record 3 years old or less, performance plan 
upon which it is based, and any summary rating.
    (b) All other performance plans and ratings.
    Destroy when 4 years old.
    (5) Supporting documents.
    Destroy 4 years after date of appraisal. b. SES appointees (as 
defined in 5 U.S.C. 3132a(2)).
    (2) Performance-related records pertaining to a former SES 
appointee.
    (a) Latest rating of record that is less than 5 years old, 
performance plan upon which it is based, and any summary rating.
    (b) All other performance ratings and plans.
    Destroy when 5 years old.
    (4) Supporting documents.
    Destroy 5 years after date of appraisal.
    36. Federal Workplace Drug Testing Program Files.
    Drug testing program records created under Executive Order 12564 
and Public Law 100-71, Section 503 (101 Stat. 468), EXCLUDING 
consolidated statistical and narrative reports concerning the operation 
of agency programs, including annual reports to Congress, as required 
by Public Law 100-71, Sec. 503(f).
    This authorization does not apply to oversight program records of 
the Department of Health and Human Services, the Office of Personnel 
Management, the Office of Management and Budget, the Office of National 
Drug Control Policy, and the Department of Justice.
    a. Drug test plans and procedures, EXCLUDING documents that are 
filed in record sets of formal issuances (directives, procedures 
handbooks, operating manuals, and the like.)
    Agency copies of plans and procedures, with related drafts, 
correspondence, memoranda, and other records pertaining to the 
development of procedures for drug testing programs, including the 
determination of testing incumbents in designated positions.
    Destroy when 3 years old or when superseded or obsolete. [See note 
(2).]

    Notes: (2) Any records covered by items 36a-e that are relevant 
to litigation or disciplinary actions should be disposed of no 
earlier than the related litigation or adverse action case file(s).

General Records Schedule 3, Procurement, Supply and Grant Records

    16. Contractor's Statement of Contingent or Other Fees.
    Standard Form 119, Contractor's Statement of Contingent or Other 
Fees, or statement in lieu of the form, filed separately from the 
contract case file and maintained for enforcement or report purposes.
    Destroy when superseded or obsolete.

General Records Schedule 14, Information Services Records

    1. Information Requests Files.
    Requests for information and copies of replies thereto, involving 
no administrative actions, no policy decisions, and no special 
compilations or research and requests for and transmittals of 
publications, photographs, and other information literature.
    Destroy when 3 months old.
    14. FOIA Reports Files.
    Recurring reports and one-time information requirements relating to 
the agency implementation of the Freedom of Information Act, EXCLUDING 
annual reports to the Congress at the departmental or agency level.
    Destroy when 2 years old.
    15. FOIA Administrative Files.
    Records relating to the general agency implementation of the FOIA, 
including notices, memoranda, routine correspondence, and related 
records.
    Destroy when 2 years old.
    26. Privacy Act General Administrative Files.
    Records relating to the general agency implementation of the 
Privacy Act, including notices, memoranda, routine correspondence, and 
related records.
    Destroy when 2 years old.
    34. Mandatory Review for Declassification Reports Files.
    Reports relating to agency implementation of the mandatory review 
provisions of the current Executive Order on classified national 
security information, including annual reports submitted to the 
Information Security Oversight Office.
    Destroy when 2 years old.
    35. Mandatory Review for Declassification Administrative Files.
    Records relating to the general agency implementation of the 
mandatory review provisions of the current Executive Order on 
classified national security information, including notices, memoranda, 
correspondence, and related records.
    Destroy when 2 years old.

General Records Schedule 16, Administrative Management Records

    2. Records Disposition Files.
    Descriptive inventories, disposal authorizations, schedules, and 
reports.
    a. Basic documentation of records description and disposition 
programs, including SF 115, Request for Records Disposition Authority; 
SF 135, Records Transmittal and Receipt; SF 258, Request to Transfer, 
Approval, and Receipt of Records to National Archives of the United 
States; and related documentation.
    (1) SF 115s that have been approved by NARA.
    Destroy 2 years after supersession.
    (2) Other records.
    Destroy 6 years after the related records are destroyed, or after 
the related records are transferred to the National Archives, whichever 
is applicable.
    b. Routine correspondence and memoranda.
    Destroy when 2 years old.
    7. Records Management Files.
    Correspondence, reports, authorizations, and other records that 
relate to the management of agency records, including such matters as 
forms, correspondence, reports, mail, and files management; the use of 
microforms, ADP systems, and word processing; records management 
surveys; vital records programs; and all other aspects of records 
management not covered elsewhere in this schedule.

[[Page 41870]]

    Destroy when 6 years old.
    8. Committee and Conference Files.
    b. Records created by committees.
    (1) Agenda, minutes, final reports, and related records documenting 
the accomplishments of official boards and committees, EXCLUDING those 
maintained by the sponsor or Secretariat.
    Destroy when 3 years old.
    (2) All other committee records.
    Destroy when 3 years old.
    10. Microform Inspection Records.
    b. Agency copy of logs and other records documenting the inspection 
of temporary microform records, as recommended by 36 CFR Part 1230. 
Destroy when 2 years old or when superseded, whichever is later.
    14. Management Control Records.
    Records created in accordance with procedures mandated by OMB 
Circular A-123, Management Accountability and Control Systems, and PL. 
97-255, the Federal Managers' Financial Integrity Act. Under these 
authorities, agencies are required to perform evaluations of their 
accounting and administrative controls to prevent waste, fraud, and 
mismanagement.
    e. Tracking files.
    Files used to ensure the completion and timeliness of submission of 
feeder reports, including schedules of evaluations, interim reporting, 
lists of units required to report, and correspondence relating to the 
performance of the reviews.
    Destroy 1 year after report is completed.

General Records Schedule 17, Cartographic, Aerial Photographic, 
Architectural, and Engineering Records

    2. Reserved. 
    3. Drawings of Temporary Structures or Objects or of Structures or 
Objects Not Critical to the Mission of the Agency.
    Drawings of structures and buildings such as telephone and electric 
lines, storage sheds, parking lots, furniture and equipment, and 
comfort stations.
    Destroy when superseded or after the structure or object has been 
retired from service.
    4. Drawings of Electrical, Plumbing, Heating, or Air Conditioning 
Systems.
    Destroy when superseded or after the structure or object has been 
retired from service.
    5. Contract Negotiation Drawings.
    Drawings prepared during contract negotiation for buildings or 
objects lacking historical, architectural, or technological 
significance; drawings related to electrical, plumbing, heating, or air 
conditioning projects; or drawings superseded by final working/as built 
drawings.
    Destroy when final working/as-built drawings have been produced.
    6. Space Assignment Plans.
    Outline floor plans indicating occupancy of a building.
    Destroy when superseded or after the structure or object has been 
retired from service.
    7. Reserved.
    8. Engineering Drawings of Routine Minor Parts.
    Drawings of such objects as fasteners, nuts, bolts, wires, screws, 
nails, pipefittings, brackets, struts, plates, and beams, if maintained 
separately or if segregable from a larger file.
    Destroy when superseded or after the structure or object has been 
retired from service.
    9. Drawings Reflecting Minor Modifications.
    Repetitive engineering drawings showing minor modifications made 
during research and development, and superseded by final drawings, if 
filed separately or if readily segregable from a larger file.
    Destroy when superseded or after the structure or object has been 
retired from service.
    10. Paint Plans and Samples.
    Plans and paint samples for painting all areas of buildings lacking 
historical, architectural, or technological significance and plans and 
samples for painting appliances, elevators, and other mechanical parts 
of buildings.
    Destroy when superseded or after the structure or object has been 
retired from service.

General Records Schedule 18, Security and Protective Services 
Records

    24. Security Violations Files.
    Case files relating to investigations of alleged violations of 
Executive Orders, laws, or agency regulations for the safeguarding of 
national security information.
    [a. Files relating to alleged violations of a sufficiently serious 
nature that they are referred to the Department of Justice or Defense 
for prosecutive determination, exclusive of files held by Department of 
Justice or Defense offices responsible for making such determinations.
    Destroy 5 years after close of case.]
    SUB-ITEM 24a IS UNCHANGED FROM CURRENT SCHEDULE.
    b. All other files, exclusive of documents placed in official 
personnel folders.
    Destroy 2 years after completion of final action.

General Records Schedule 21, Audiovisual Records

Still Photography

    1. Photographs of routine award ceremonies, social events, and 
activities not related to the mission of the agency.
    Destroy when 1 year old.
    2. Personnel identification or passport photographs.
    Destroy when 5 years old or when superseded or obsolete, whichever 
is later.
    4. Reserved. 

Graphic Arts

    5. Viewgraphs.
    Destroy 1 year after use.
    6. Routine artwork for handbills, flyers, posters, letterhead, and 
other graphics.
    Destroy 1 year after final publication.
    8. Line copies of graphs and charts.
    Destroy 1 year after final production.

Motion Pictures

    10. Reserved.
    11. Routine surveillance footage.
    Destroy when 6 months old.
    12. Routine scientific, medical, or engineering footage.
    Destroy when 2 years old.
    13. Reserved.

Video Recordings

    15. Reserved.
    18. Routine surveillance recordings.
    Destroy when 6 months old.
    19. Routine scientific, medical, or engineering recordings.
    Destroy when 2 years old.
    20. Recordings that document routine meetings and award 
presentations.
    Destroy when 2 years old.
    21. Reserved.

Audio (Sound) Recordings

    25. Reserved.
    26. Daily or spot news recordings available to local radio stations 
on a call-in basis.
    Destroy when 6 months old.
    27. Reserved.

Explanation of Changes

    1. GRS 1, item 4a, Correspondence related to accepted offers of 
employment. Current disposition instruction: Destroy when no longer 
needed. Revised disposition instruction: Destroy when appointment is 
effective.
    The original disposition (1952) for this item was ``destroy when 
position is accepted.'' An agency may have an administrative need for 
the information in this correspondence until the individual officially 
joins the agency.
    2. For the following GRS items, the specific language in the 
current

[[Page 41871]]

disposition instruction will be retained, but the clause containing the 
phrase ``if/when no longer needed'' will be deleted. The disposition 
instruction for some of these items sets a maximum retention period, 
not a mandatory retention period. The indefinite (when no longer 
needed) clause allowed agencies to destroy the records sooner. For 
other items, the indefinite language allowed agencies to retain the 
records for an unspecified period of time beyond a minimum period. 
Removing the clause will establish uniform, consistent retentions 
periods for these records throughout Government. Should any agency wish 
to establish a different retention period, it may submit an SF 115, 
Request for Records Disposition Authority in accordance with 36 CFR 
1228.42.

GRS 1, item 23a(3) and (5), Non-SES performance records
GRS 1, item 23b(2)(b) and (4), SES performance records
GRS 1, item 36a, Drug testing records
GRS 3, item 16, Contractors statement of contingent or other fees
GRS 14, item 1, Requests for information
GRS 14, items 14, 15, 26, 34, and 35, FOIA, Privacy Act, and mandatory 
review records
GRS 16, item 7, Records management subject files
GRS 16, items 8b (1) and (2), Committee files
GRS 18, item 24b, Security violations files
GRS 21, items 1, 5, 6, 8, 12, 19, and 26, Audiovisual records

    3. GRS 16, item 2a covers records disposition inventories, forms 
(SF 115, Request for Records Disposition Authority, SF 135, Records 
Transmittal and Receipt, and SF 258, Agreement to Transfer Records to 
the National Archives of the United States), and reports.
    Current disposition: Destroy when related records are destroyed, or 
transferred to the National Archives, or when no longer needed for 
administrative or reference purposes.
    A review of this item revealed that the retention period for the SF 
115, which provides continuing records disposition authority, should be 
different from the other records covered by this item. Consequently, 
the proposed disposition provides for two sub-items:
    (1) SF 115s that have been approved by NARA.
    Destroy 2 years after supersession.
    (2) Other records.
    Destroy 6 years after the related records are destroyed, or after 
the related records are transferred to the National Archives, whichever 
is applicable.
    The six year retention period for sub-item b is based on agencies' 
use of the SF 135 and SF 258 to determine the location of records in 
response to a FOIA or other request for the records.
    4. GRS 16, item 2b, Routine records disposition correspondence.
    Current disposition instruction: Destroy when no longer needed.
    Revised disposition instruction: Destroy when 2 years old. Similar 
items in other general schedules have a two-year retention period.
    5. GRS 16, item 10, Microform inspection records.
    Current disposition instruction: Destroy when no longer needed.
    Revised disposition instruction: Destroy when 2 years old or when 
superseded, whichever is later. The inspection of microform copies of 
temporary records is optional (36 CFR 1230.22(b)). Should agencies 
choose to inspect temporary microforms, the recommended interval is two 
years, but as agencies are not bound to that interval, any inspection 
records should be maintained until they are superseded.
    6. GRS 16, item 14e, Management control tracking files.
    Current disposition instruction: Destroy when no longer needed.
    Revised disposition instruction: Destroy 1 year after report is 
completed.
    This item covers feeder reports, interim reports, and other records 
created in support of the development of annual and other management 
control reports. The support records should be needed only for short-
term follow-up purposes after the relevant report is finalized.
    7. The series title for GRS 17, item 3 was modified to read 
``Drawings of Temporary Structures or Objects Not Critical to the 
Mission of the Agency,'' and ``furniture and equipment'' was added to 
the description of the item. These changes make the item more accurate 
and complete, in concert with the NARA instructional guide, ``Managing 
Cartographic, Aerial Photographic, Architectural, and Engineering 
Records.''
    8. GRS 17, items 3, 4, 6, 8, 9, and 10, Architectural drawings, 
space assignment plans, and paint plans and samples.
    Current disposition instruction: Destroy when no longer needed for 
administrative purposes.
    Revised disposition instruction: Destroy when superseded or after 
the structure or object has been retired from service.
    These temporary architectural drawings, floor and paint plans, and 
paint samples have utility only as long as they accurately reflect the 
design and layout of the current structure, or as long as the agency is 
occupying/using the structure or object.
    9. GRS 17, item 5, Contract negotiation drawings.
    Current disposition instruction: Destroy when no longer needed for 
administrative purposes.
    Revised disposition instruction: Destroy when the final/as-built 
drawings are produced.
    These are preliminary drawings made during contract negotiations 
and are not needed after final working/as built drawings have been 
made.
    10. GRS 21, item 2, Personnel photographs.
    Current disposition instruction: Destroy when 5 years old or when 
no longer needed.
    Revised disposition instruction: Destroy when 5 years old or when 
superseded or obsolete, whichever is later.
    These identification and passport photographs are needed only for 
as long as they are current.
    11. GRS 21, items 11 and 18, Routine surveillance motion picture 
and video recordings.
    Current disposition instruction: Destroy when no longer needed.
    Revised disposition instruction: Destroy when 6 months old.
    These are obviously very short-term administrative records. Tapes 
and films that document illegal or otherwise questionable behavior or 
circumstances would be made part of an investigative file. NARA checked 
with several agencies and found a range of 2-120 days in the 
recommended retention period. NARA is proposing 6 months to accommodate 
the spectrum. Based on comments received during this comment period, 
NARA may adjust this retention period to provide a minimum period that 
will suit the needs of most agencies.
    12. GRS 21, item 20, Video recordings of routine meetings and award 
presentations.
    Current disposition instruction: Destroy when no longer needed.
    Revised disposition instruction: Destroy when 2 years old.
    GRS items covering administrative correspondence and subject files 
generally have a two-year retention period. As these recordings contain 
similar information the same retention period would be appropriate.
    13. GRS 17, items 2 and 7, Duplicate aerial photographs and 
architectural models.
    GRS 21, items 4, 10, 13, 15, 21, 25, and 27, Duplicate photographs, 
films,

[[Page 41872]]

videos, and sound recordings; recreational films and videos; and 
library sound recordings.
    These items are nonrecord. The aerial photographs (GRS 17/2a and b) 
are described as ``unannotated duplicate (s)'' and ``unannotated prints 
when original film negatives exist.'' Architectural models are three-
dimensional objects not normally considered documentary records. The 
audiovisual materials are described as ``duplicate items in excess of 
record elements required for and films and videos ``acquired from 
outside sources for personnel entertainment and recreation,'' and 
``library sound recordings.'' As such they do not meet the definition 
of Federal records, and therefore should be removed from the GRS. The 
disposition of the materials described by these GRS items should be 
provided in guidance, not records schedules. In order to preserve the 
numbering of the remaining items in these schedules, these items should 
be reserved.

    Dated: July 31, 1998.
Geraldine N. Phillips,
Acting Assistant Archivist for Records Services--Washington, DC.
[FR Doc. 98-21023 Filed 8-4-98; 8:45 am]
BILLING CODE 7515-01-P