[Federal Register Volume 63, Number 196 (Friday, October 9, 1998)]
[Notices]
[Pages 54503-54505]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-27358]


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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, DC.

ACTION: Notice.

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SUMMARY: This notice contains the 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. This notice includes the rationale for the proposed changes, 
analogous to an appraisal report, as well as the full text of the 
proposed schedule. The rationale is based on Appendix D of the 
Electronic Records Work Group report to the Archivist of the United 
States. (The entire draft report, including Appendix D, was published 
in the Federal Register for comment on July 21; the final report is 
available on the NARA web site at <http://www.nara.gov/records/grs20>.) 
Consequently, this notice provides all available information for 
interested parties who may wish to comment.

DATES: Comments on these proposed changes must be received on or before 
November 9, 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-98-3--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 millions 
of records on paper, film, magnetic tape, and other media. 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 General Records Schedules to provide 
disposal authorities for temporary administrative records that are 
common to several or all agencies.
    This proposed schedule contains a new item to be added to General 
Records Schedules 1-16, 18, and 23, to authorize disposal of source 
records, regardless of physical format, used to generate the 
administrative records described elsewhere in those general schedules. 
The records generated from the source records are maintained in agency 
files or other recordkeeping systems.
    The proposed change to the GRS was developed by the Electronic 
Records Work Group, an interagency group established by the Archivist 
of the United States in November 1997 to address electronic records 
disposition issues, including a revision of GRS 20, Electronic Records. 
The proposed new item is limited to the source records for the 
administrative records described in GRS 1-16, 18, and 23.
    On July 21, 1998, NARA published a notice containing the entire 
text of the draft Work Group report in the Federal Register (63 FR 
39195) and invited the public to submit comments within the next 30 
days. The proposed changes to GRS 1-16, 18, and 23 were contained in 
Appendix D of the draft report.
    Three Federal agencies and one public interest group commented on 
the substance of the proposed changes to the GRS 1-16, 18, and 23. One 
professional group found unclear language in the proposed change to the 
Introduction to the General Records Schedules. One of the Federal 
agencies found the description of the new item unclear; another 
suggested that the disposition instruction for the new item should 
refer to the EFOIA; and a third suggested that the disposition 
instruction be modified to provide that the electronic source record 
cannot be kept longer than the recordkeeping copy. The public interest 
group commented that the publication of the schedule (N1-GRS-98-3) as 
part of the appendix to the Work Group report did not comply with the 
Federal Records Act requirement for public comments on schedules. The 
public interest group also found the disposition instruction for the 
new item to be out of compliance with the Federal Records Act 
requirement that disposition instructions provide for disposal after a 
specified period of time.
    In its final report to the Archivist, the Work Group made no change 
to the description of the proposed new GRS item, as the only respondent 
who found it unclear did not suggest alternative language. However, the 
Work Group did modify the proposed language of the Introduction to the 
General Records Schedules. In response to the comment from the public 
interest group, the second sentence from the proposed disposition 
instruction for the new GRS item was deleted, which rendered the 
suggestions made by the two Federal agencies moot.
    In addition to comments on the proposed changes to the GRS, several 
respondents to the Federal Register notice requesting comments on the

[[Page 54504]]

Electronic Records Work Group draft report suggested clarification in 
the supporting documentation in Appendix D. In response to these 
comments, the Work Group made several editorial clarifications in 
Appendix D.
    The Archivist of the United States has accepted the Work Group's 
recommendations for changing the GRS, with one modification. NARA did 
not adopt the term ``electronic source records'' for the new GRS item 
as proposed by the Work Group. The following schedule is NARA's 
proposal for modifying General Records Schedules 1-16, 18, and 23 to 
add an item covering source records.

Records Schedule N1-GRS-98-3

New Item to be Added to GRS 1-16, 18, And 23

Records Maintained Apart From a Recordkeeping System
    Records, including electronic 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 office 
automation systems after the record for the recordkeeping system has 
been produced.
    Destroy/delete after the recordkeeping copy has been produced.
    This item will be added to the General Records Schedules as 
indicated below:

1. GRS 1, Civilian Personnel Records, item 42
2. GRS 2, Payrolling and Pay Administration Records, item 31
3. GRS 3, Procurement, Supply, and Grant Records, item 18
4. GRS 4, Property Disposal Records, item 5
5. GRS 5, Budget Preparation, Presentation, and Apportionment Records, 
item 5
6. GRS 6, Accountable Officers' Accounts Records, item 12
7. GRS 7, Expenditure Accounting Records, item 5
8. GRS 8, Stores, Plant, and Cost Accounting Records, item 8
9. GRS 9, Travel and Transportation Records, item 6
10. GRS 10, Motor Vehicle Maintenance and Operation Records, item 8
11. GRS 11, Space and Maintenance Records, item 6
12. GRS 12, Communications Records, item 9
13. GRS 13, Printing, Binding, Duplication, and Distribution Records, 
item 7
14. GRS 14, Information Services Records, item 37
15. GRS 15, Housing Records, item 8
16. GRS 16, Administrative Management Records, item 15
17. GRS 18, Security and Protective Services Records, item 30
18. GRS 23, Records Common to Most Offices Within Agencies, item 10

    In addition the following changes will be made to narrative 
sections of the GRS:

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 disposition authorities in GRS 1-16, 18, and 23, apply to 
records that contain the information described in the items in the 
schedule, regardless of the recording medium used to create or store 
the records. 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.''

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 system after a record has been produced for inclusion 
in a recordkeeping system.''

Rationale for Proposed Changes to the GRS

    The following appraisal report for N1-GRS-98-3 is based on the 
Electronic Records Work Group report to the Archivist of the United 
States. Please note that NARA has not adopted the term ``electronic 
source records'' proposed by the Work Group; that term is limited to 
the electronic copies of records formerly covered by GRS 20, items 13, 
14, and 15, and the new GRS items cover a broader range of records.

Background

    In the 1995 edition of the General Records Schedules, GRS 20, items 
13, 14 and 15, authorized the deletion of electronic copies 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 Government-wide authorization for 
destruction of electronic mail messages and word processing records 
that qualified as program records. Subsequently, the Archivist has 
determined as a matter of policy 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. The Work Group did so in Appendix D of its report to 
the Archivist.
    Program records are those records created by each Federal agency in 
performing the unique functions that stem from the distinctive 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, human resources, equipment and 
supplies, facilities, public and congressional relations, and 
contracting.

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 requests and receives an 
exception from NARA.
    All program records and administrative records not covered by a GRS 
must be scheduled by the creating agency. Examples of administrative 
records not covered by the GRS may include records that supplement the

[[Page 54505]]

records covered by the GRS, records that may be organized or maintained 
in a way that make application of the GRS inappropriate, or records 
where 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).
    This schedule adds a new item 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 copies generated 
using electronic mail, word processing, and other office automation 
systems. This authority is needed because the electronic copy that 
remains on the office automation system is a record, in addition to the 
record in the recordkeeping system.
    This new item is appropriate for inclusion in the revised GRS 
because the GRS only will apply to administrative records. This new 
item is recommended because, unlike unique agency program records, NARA 
believes that the electronic copies of records covered by the GRS have 
insufficient value for continued retention once the recordkeeping 
copies are produced. (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 disposition authorities for electronic copies 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 would align the disposition authority for electronic 
copies and other 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.

    Dated: October 7, 1998.
Michael J. Kurtz,
Assistant Archivist for Records Services--Washington, DC.
[FR Doc. 98-27358 Filed 10-8-98; 8:45 am]
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