##### GENERAL RECORDS SCHEDULE 20

##### 

##### Electronic Records 

This schedule provides disposal authorization for certain electronic
records and for specified paper, microform, or other hard copy records
that are integrally related to the electronic records.

This schedule applies to 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 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. Disposition may not be
carried out for electronic records not covered by GRS 20 unless
authorized by a Standard Form (SF) 115, Request for Records Disposition
Authority, 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 1a (in part), 2a, and 16 of this schedule apply to hard copy
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 the referenced electronic records whatever the medium
in which such programs and documentation exist.

This schedule has been revised to expand the authority agencies have to
apply previously approved schedules to electronic records; grant broader
authority to agencies to dispose of hard copy records that have been
converted to an electronic format; and provide disposition instructions
for ad hoc printouts and for documentation associated with permanent
electronic records. Additionally, because copies of system security
records are now covered by GRS 24, item 5, a cross-reference has been
provided for item 11b to that effect. The items affected by the
revisions to this GRS 20 schedule are 2, 3, 3.1, 11, and 16.

20-1

Electronic versions of most 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,]{.underline} [Applications, or Electronic
Records.]{.underline}

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.]{.underline}

a.  Hard copy (non-electronic) documents used to create, update, or
    modify electronic records when the electronic records are retained
    to meet recordkeeping requirements and are covered by a
    NARA-approved schedule. Included are such records as hard copy forms
    used for data input as well as hard copy documents that are scanned
    into an electronic recordkeeping system (e.g., correspondence,
    reports, still pictures, maps, etc.).

    1.  Hard copy documents that NARA has specifically designated as
        permanent records that must be transferred to NARA in hard copy
        format, even if records have been copied/converted to an
        electronic format.

> Permanent. Transfer to NARA in accordance with previously approved
>
> schedule.\
> \
> 20-2

2.  Hard copy records previously approved as permanent that are
    converted to electronic records where the electronic records do not
    meet NARA's transfer standards for permanent electronic records in
    effect at the time of conversion.

> Permanent. Transfer to NARA in accordance with previously approved
>
> schedule.

3.  Hard copy documents that contain information that is not or cannot
    be captured in the electronic version of the records (e.g., certain
    handwritten annotations).

> Apply previously approved schedule.

4.  Hard copy documents other than those covered by Items 2(a) (1) --
    (3).

> Destroy after the information has been converted to an electronic
> medium
>
> and verified, when no longer needed for legal or audit purposes or to
> support the reconstruction of, or serve as a backup to, the electronic
> records, or 60 days after NARA has been provided the notification
> required by 36 CFR 1228.31(b)(1)(i), whichever is later.

\[NOTE: The term hard copy records or non-electronic records as used in
this schedule includes, in addition to traditional textual files: still
picture negatives, prints, slides, and transparencies; aerial
photography, maps, charts, and drawings; motion picture film and analog
videotape; and analog sound recordings.\]

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
    backup 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 backup 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.

    20-3

3\. [Electronic Records That Replace Temporary Hard Copy
Records.]{.underline}

> Electronic records that replace temporary hard copy records covered by
> previously approved schedules that do not explicitly exclude
> electronic records. (If a previously approved schedule explicitly
> excludes electronic records, an SF 115 must be submitted to NARA. None
> of the authorities provided below may be applied.)

a.  Scanned images

> Delete after the expiration of the retention period authorized for the
> hard copy records.

b.  Electronic formats other than scanned images

    1.  Records covered by temporary items in the GRS other than GRS 1,
        Item 21 (Employee Medical Folders); GRS 1, Item 22 (Statistical
        Summaries); GRS 1, Item 25f (Equal Employment Opportunity
        Statistics Files); GRS 12, Item 3 (Telecommunications
        Operational Files); and GRS 18, Item 5 (Top Secret Accounting
        and Control Files)

OR

> Records covered by temporary items in an agency-specific schedule that
> pertain to administrative housekeeping activities.

Delete after the expiration of the retention period authorized for the
hard copy records.

2.  Records covered by GRS 1, Item 21 (Employee Medical Folders); GRS 1,
    Item 22 (Statistical Summaries); GRS 1, Item 25f (Equal Employment
    Opportunity Statistics Files); GRS 12, Item 3 (Telecommunications
    Operational Files); and GRS 18, Item 5 (Top Secret Accounting and
    Control Files).

Submit SF 115 to NARA.

3.  Digital versions of temporary still pictures, sound recordings,
    motion picture film, and video recordings.

Delete after the expiration of the retention period authorized for the
hard copy records.

4.  Program records approved for destruction in a previously approved
    schedule that is media neutral and does not explicitly exclude
    electronic records.

> 20-4

Delete after the expiration of the retention period specified in the
previously approved schedule .

5.  Program records maintained in an electronic format that are not
    covered by Items 3(a), 3(b)(1), 3(b)(3), or 3(b)(4).

Submit SF 115 to NARA.

\[NOTES: (1) Items 3(b)(1) and 3(b)(3) may be applied to electronic
records consisting of information drawn from multiple previously
scheduled hard copy series of administrative housekeeping records. In
such instances, the electronic records must be retained for the longest
retention period specified in the previously approved schedules. (2)
Disposition authorities included in Item 3 may be applied to copies of
records maintained on agency web sites only in the case of
administrative housekeeping records. These items may not be applied to
web site copies of program records, which must be scheduled
separately.\]

3.1 [Electronic Records That Replace Permanent Hard Copy
Records.]{.underline}

> Electronic records that replace hard copy records approved as
> permanent in a previously approved schedule.
>
> Permanent. Submit notification to NARA in accordance with 36 CFR
> 1228.31(b)(1)(i).

\[NOTES: (1) Electronic versions of permanent records that are retained
as recordkeeping copies must meet the standards contained in NARA
guidance concerning the creation, maintenance, and transfer of permanent
electronic records. (2) Item 3.1 may be applied if the electronic
records consist of information drawn from multiple previously scheduled
permanent series. In cases where the electronic records include
information drawn from both temporary and permanent hard copy series, an
agency may apply Item 3.1 or submit an SF 115 that proposes disposal of
the records if the agency believes the electronic records do not warrant
permanent retention. (3) This item does not cover copies of permanent
records maintained on agency web sites, which must be scheduled
separately.\]

4\. [Data Files Consisting of Summarized Information.]{.underline}

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.

20-5

\[NOTE: Data files consisting of summarized information which were
created from a master file or data base that is unscheduled, or that was
scheduled as permanent but no longer exists or can no longer be
accessed, may not be destroyed before securing NARA approval.\]

5\. [Records Consisting of Extracted Information]{.underline}.

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:

● produced as disclosure-free files to allow public access to the data;
or

● 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.

\[NOTES: (1) Records consisting of extracted information that was
created from a master file or data base that is unscheduled, or that was
scheduled as permanent but no longer exists or can no longer be
accessed, may not be destroyed before securing NARA approval. (2) See
item 12 of this schedule for other extracted data.\]

6\. [Print File.]{.underline}

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.]{.underline}

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.]{.underline}

    20-6

    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).]{.underline}

    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.]{.underline}

    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.]{.underline}

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a.  Data systems specifications, file specifications, codebooks, record
    layouts, user guides, output specifications, and final reports
    (regardless of medium) relating to a master file, database or other
    electronic records.

    20-7

    1.  Documentation relating to electronic records that are scheduled
        for destruction in the GRS or in a NARA-approved agency
        schedule.

        Destroy or delete upon authorized deletion of the related
        electronic records or upon the destruction of the output of the
        system if the output is needed to protect legal rights,
        whichever is later.

    2.  Documentation relating to electronic records that are scheduled
        for permanent retention in the GRS or in a NARA-approved agency
        schedule.

        Permanent. Transfer to the National Archives with the permanent
        electronic records to which the documentation relates.

        b\. Copies of records relating to system security.

        Use GRS 24, item 5.

        12\. [Downloaded and Copied Data.]{.underline}

        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
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.

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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.

    \[NOTE: See item 5 of this schedule for other extracted data.\]

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13. [Word Processing Files.]{.underline}

    20-8

    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.]{.underline}

    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.]{.underline}

    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.

    16\. [Hard copy printouts created to meet ad hoc business
    needs.]{.underline}

    Printouts derived from electronic records created on an ad hoc basis
    for reference purposes or to meet day-to-day business needs.

    Destroy when the agency determines that they are no longer needed
    for administrative, legal, audit, or other operational purposes,
    provided the printouts do not contain substantive information, such
    as substantive annotations, that is not included in the

    20-9

    electronic records. (Printouts that contain substantive information
    should be disposed of in accordance with the NARA-approved schedule
    that covers the series in which they are filed.)

# 

20-10