Federal Register / Vol. 63, No. 139 /Tuesday, July 21, 1998 / Notices 39187

build on the work done by this Work

Group.

Electronic Records Work Group

Products for Comment

In addition to this introductory

notice, this separate part contains the

following Work Group products for

which we seek your comments:

1. Appendix C—Proposal for Developing

Agency Records Schedules That Include

Electronic Source Records Generated

With Office Automation Applications.

Appendix C addresses the first Work

Group recommendation, that agencies

must schedule their program and

unique administrative records in all

formats. It proposes guidance that

NARA should issue on the revision of

existing records disposition schedules

to provide disposition authority for

records created using office automation

applications, which were covered by the

1995 GRS 20, items 13, 14 and 15. It

outlines what agencies must do to

schedule these records and how NARA

will provide the public the opportunity

to submit comments on the schedules as

required by 44 U.S.C. 3303a.

2. Appendix D—Proposal to Revise the

Entire GRS To Cover All Formats of the

Administrative Records Included

Therein.

Appendix D addresses the second

Work Group recommendation, that

NARA modify the GRS to authorize the

destruction of copies of administrative

records covered by those GRS that are

not needed for recordkeeping purposes

after a recordkeeping copy has been

produced. This appendix proposes a

new item to be added to General

Records Schedules 1–16, 18, and 23 to

provide the disposition authority

previously provided by GRS 20, items

13, 14 and 15.

3. Appendix E—Proposed General

Records Schedule, Information

Technology Records

Appendix E addresses the Work

Group’s third recommendation. It

proposes a new General Records

Schedule to provide disposition

authorities for certain specified

temporary records specifically related to

systems management and operations.

The new GRS would not cover

temporary records documenting

development and management of

agency systems for the agency’s

mission-related functions.

4. Draft Electronic Records Work Group

Report to the Archivist of the United

States

This notice contains the text of the

Work Group’s draft report to the

Archivist, which is due to be submitted

to the Archivist with the appendixes in

September, and Appendix A. The draft

report published here has been modified

slightly from the June 15 version posted

on the NARA GRS 20 web page (http:/

/www.nara.gov/records/grs20/). The

final report will reflect further changes

that the Work Group makes as a result

of the comments received, and will

contain an Appendix B that discusses

the comments received on the draft

report and other work products.

Availability of Reference Sources Cited

The notice documents reference

various materials that may be useful in

your review of the documents. The

following table shows where these

documents are available for review on

NARA’s web site or in this separate part:

Cited document Availability Where cited

General Records Schedules 1–23, including GRS 20 (1995 edition) ... http://ardor.nara.gov/grs/index.html This notice; Appendix D; Draft Report.

NARA Bulletin 98–02 .............................................................................. http://www.nara.gov/records/grs20/

bltn–grs.html OR Appendix C.

Appendix C; Draft Report.

NWM 06–98 ............................................................................................ Appendix C .................................... Appendix C.

1995 Agency Recordkeeping Requirements: A Management Guide .... gopher://gopher.nara.gov:70/00/ma

nagers/federal/publicat/adequacy.txt.

Draft Report.

Questions and Issues

In each of the following notices, we

have identified specific questions and

issues that we would like you to

consider and comment on as part of

your review of those documents.

Future Steps

The Work Group must present its

final report and implementation strategy

to the Archivist of the United States in

September. Consequently, we may not

be able to consider any comments

received after the comment deadline,

August 20, 1998. The Work Group will

review all comments received on the

report and appendixes during the June

Federal Register comment period before

preparing its final report.

The Work Group intends to submit its

report to the Archivist in time for his

review and action on it by September

30. The Archivist will communicate his

decisions to Federal agencies and the

public.

Dated: July 16, 1998.

Lewis J. Bellardo,

Deputy Archivist of the United States.

[FR Doc. 98–19465 Filed 7–20–98; 8:45 am]

BILLING CODE 7515–01–P

NATIONAL ARCHIVES AND RECORDS

ADMINISTRATION

Electronic Records Work Group Draft

Report; Appendix C

AGENCY: National Archives and Records

Administration (NARA).

ACTION: Request for comment.

SUMMARY: This notice contains the

Electronic Records Work Group’s

proposed strategy for Federal agencies

to implement the Work Group’s

proposed recommendation that agencies

must schedule their program and

unique administrative records in all

formats. It proposes guidance that

NARA should issue on the revision of

existing records disposition schedules

to provide disposition authority for

electronic source records created using

office automation applications, which

were covered by the 1995 General

Records Schedule (GRS) 20, items 13, 14

and 15. Your comments are requested

on the proposed Appendix C which

follows this notice and in response to

the questions posed in the

SUPPLEMENTARY INFORMATION.

DATES: Comments must be received on

or before August 20, 1998.

ADDRESSES: Comments may be sent

electronically to the e-mail address

<grs20@arch2.nara.gov>. 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 email, 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.
39188 Federal Register / Vol. 63, No. 139 /Tuesday, July 21, 1998 / Notices

FOR FURTHER INFORMATION CONTACT:

Michael Miller at 301–713–7110, ext.

229.

SUPPLEMENTARY INFORMATION:

The proposed Appendix C provides

guidance for scheduling electronic

source records (the electronic record

that resides on an agency’s electronic

mail, word processing, or other office

automation systems) formerly

authorized for disposal under GRS 20.

The electronic source documents

addressed in this appendix are those

that correspond to program records and

administrative records not covered in

the GRS. It is not meant to provide

guidance for scheduling records in

electronic recordkeeping systems and

other records not disposable under GRS

20. Instructions for scheduling those

records are provided in other NARA

guidance. It is also not meant to provide

guidance on electronic recordkeeping,

which will be issued separately. The

scheduling procedures described in the

document should be conducted in the

context of the agency’s current records

management program.

This document provides three models

for scheduling electronic source records.

While the models vary in format, they

all accomplish the same result. Model 1

requires that agencies add a disposition

for the electronic source records

formerly covered by GRS 20 to every

series in their manual or records

schedules. This model is most

appropriate for agencies that expect the

retention of these records to vary

considerably from series to series

because they have different business

needs for the records and their

technology base allows them to

implement the dispositions. The format

of Model 2 allows the agency to obtain

the approval for the dispositions

without having to specify each series,

except those for which the agency is

requesting disposition instructions that

deviate from the norm. Model 2 is

appropriate for agencies that have a

business need to maintain a few

electronic source records for a different

period of time than the majority of such

records. Model 3 is appropriate for

agencies that have neither the business

need nor the technical capability to

maintain the electronic source records

for varying periods of time and have

decided on a single disposition for the

records.

No matter which format is chosen for

submitting the schedules, agencies are

expected to conduct a series-based

analysis of their business needs and

review their technical capabilities and

to provide NARA with that information.

NARA will also review the submissions

on a series basis. Although Model 3, and

to some extent Model 2, do not require

separate disposition instructions for

each agency series, please note that, like

Model 1:

(1) Models 2 and 3, require that

agencies analyze their recordkeeping

needs and practices, including their

needs for the electronic copies.

(2) Models 2 and 3 require that

agencies provide NARA with

information about their technical

capabilities and other recordkeeping

policies so NARA can assess on an

agency by agency (and in some cases

component by component) basis

whether the agency is capturing the

necessary information from

electronically generated records in the

records placed in an agency’s

recordkeeping system and whether the

agency’s justification for the early

disposal of the electronic source records

is supported by the state of the agency’s

technical capabilities.

(3) To use Model 2 or 3 agencies must

identify what existing records the new

disposition(s) will affect. This will

allow NARA to determine whether the

dispositions are appropriate. If there is

no existing schedule for a body of

records, the agency must schedule all of

the records in all media following the

guidance in NARA Bulletin 98–02.

Also, please note that no matter

which model is used, the schedule will

be published in the Federal Register for

comment. The Federal Register notice

will reference the existing schedules

that are affected so that the public has

sufficient information to comment.

With these parameters in mind, we

also ask your comments on the

following questions:

C1. Are the instructions for

conducting the analysis of

recordkeeping needs and capabilities

sufficiently clear?

C2. Are the instructions for

scheduling the records sufficiently

clear?

C3. This document proposes a

deadline of 180 days for agencies to

submit schedules (SF 115s) to cover

their electronic source records or, if the

agency cannot meet that deadline, a

deadline of 120 days for submitting a

plan that sets milestones for

accomplishing the scheduling effort.

Are these appropriate time frames?

C4. This document includes a

questionnaire concerning the systems

used by an agency, its technical

capabilities for recordkeeping, and the

administrative controls used by the

agency. Does the questionnaire ask the

right questions to permit NARA to

appraise the electronic source records?

Should any questions be added or

dropped?

C5. The scheduling process described

in Appendix C will allow NARA to

assess proposed retentions for the

electronic source records based on the

agency’s internal records management

policy, current recordkeeping systems

and currently installed technology.

However, technology changes rapidly

and changes in technology will affect

recordkeeping. Currently agencies are

required to schedule all ‘‘records of new

programs and of programs that are

reorganized or otherwise changed in a

way that results in the creation of new

or different records within 1 year of

creation’’ (36 CFR 1228.26(a)(2) and

1234.32(a)). Agencies are also required

to review and update their schedules

annually (36 CFR 1228.50(d)). Are these

requirements appropriate in the current

technological environment? If not, what

process(es) should be instituted to

ensure that as technology changes,

agencies and NARA address the issue of

whether the retention requirements, and

in the case of permanent records, the

transfer medium, should be changed?

Dated: July 16, 1998.

Lewis J. Bellardo,

Deputy Archivist of the United States.

Appendix C: Proposal for Developing

Records Schedules That Include Office

Automation Records

Table of Contents for Appendix C

Executive Summary

Scope

Description of Proposal

Agency Action

Selection of Model or Plan

Description of Models

Submitting a Planning Package for

Scheduling Electronic Source Records

NARA Action

Schedule review

Plan review

Public notice for review of SF 115’s

Part I: Questionnaire To Be Answered by

Agencies for Each Electronic Source

Records Disposition Request (SF 115)

Part II: NARA Bulletin 98–02, Disposition of

Electronic Records

Part III: NWM 06–98, Memorandum to

Agency Records Officers and Information

Management Officials

Executive Summary

The Electronic Records Work Group

proposes that NARA issue guidance to

agencies on the revision of existing

records disposition schedules to provide

disposition authority for electronic

source records created using office

automation applications (e-mail, word

processing, spreadsheet and similar

applications) which were covered by the

1995 General Records Schedule (GRS)

20. This proposal provides guidance for
Federal Register / Vol. 63, No. 139 /Tuesday, July 21, 1998 / Notices 39189

1The term ‘‘business needs’’ as used in this

document refers to an agency’s need to conduct its

business, maintain a record of its essential activities

and decisions for its own use, support oversight and

audit of those activities, and permit appropriate

public access.

the submission of schedules and an

overview of the NARA review and

approval process.

Under this proposal, agencies will be

offered two alternatives. The first

alternative requires the agency to

submit, within 180 days, a complete

scheduling package to cover the

electronic source records of its program

and agency-specific administrative

records created using e-mail, word

processing, or other office automation

applications which are not covered by

General Records Schedules. If an agency

is unable to meet this deadline, it must,

within 120 days, submit a planning

package that includes a project plan

with milestones for reviewing the

agency’s current schedules and

submitting to NARA revised schedules

for electronic source records. In both

cases, agencies ultimately must conduct

a series-based analysis of their

electronic source records and NARA

will conduct a series-based review of

the proposed disposition authorities.

The public will have the opportunity to

comment on all proposed dispositions

for the electronic source records.

The Work Group proposes that, as

part of its implementation of this report,

the Archivist issue a NARA bulletin to

agencies that would contain the

requirements that follow, and provide

no-cost training on implementing the

requirements.

Scope

Agencies create a variety of records in

connection with the use of computers

and related communications systems.

They create records about information

technology, such as records about the

development, operation, maintenance

and support of computer systems. In the

course of using information technology,

they create certain types of records that

are necessary for effective use of the

technology, such as source code for

computer programs, test data files, and

backup files, among others. The

proposed new General Records

Schedule for information technology

records (Appendix E) will cover

common administrative records in these

two categories: records about

information technology and records

necessary for the effective use of

information technology.

Agencies also make or receive

electronic records using information

technology in carrying out any agency

program and administrative activity.

From a technical perspective, there are

two distinct contexts in which agencies

create such electronic records. The first

context is that of a specific information

system or application system. An

information or application system is a

specific application of information

technology in support of a program or

administrative function. The design of

an application system includes the

specification of what types of

information will be captured in the

system and how they will be organized.

Thus, the application system design

includes the definition of the records

and series of records which will be

created and maintained in the system.

An information or application system

involves the creation, manipulation,

retention and disposition of records of

the function which it supports. The

instructions in this appendix do not

apply to scheduling these systems. Each

agency should schedule all of the

records series retained within each

application system on a comprehensive

basis.

The second technical context is enduser computing. In today’s environment,

most Federal employees are provided

with generic office automation tools,

such as word processing and e-mail,

which they use to generate electronic

records related to their work, regardless

of the nature of the work. In contrast to

an application system, where the

records fall into one series or a group of

related series, end users can and do

create a variety of records using office

automation systems. A single user may

create word processing files and send

and receive e-mail messages related to

both program and administrative

activities. These records may belong in

files that are completely unrelated, such

as the employee’s personnel folder and

agency files on policy development.

Records created using office automation

software must be filed in electronic or

paper recordkeeping systems, which

agencies are required to schedule under

current NARA regulations (36 CFR

1228.26). In either case, the agency

needs to provide for the authorized

disposition of the copies remaining on

the original systems outside of the

recordkeeping system. These records are

termed ‘‘electronic source records’’

because they are electronic records

which serve as the sources of the

records filed in the agency’s

recordkeeping system.

NARA will provide, in the GRS,

Government wide authorization for the

disposition of electronic source records

used to create the types of records

covered by GRS 1–16, 18, and 23.

Agencies must obtain authorization for

disposition of all other electronic source

records by submitting schedules (SF

115s) to NARA. This proposal describes

the development, submission and

approval of such schedules.

All agencies must ensure that all their

records are scheduled. Consequently,

each agency (or components of agencies

that have independent records

management programs and normally

submit records schedules to NARA for

approval) must ensure that its records

schedules cover those electronic records

not covered by the GRS that were

created (or received) on e-mail, word

processing, spreadsheet, graphic

presentation and other office

automation software. Agencies with

schedules that do not include

disposition instructions for such

electronic source records must revise

their schedules to do so and submit

them to NARA for approval. To

accomplish this effectively, agencies

will have to conduct an analysis of the

coverage of their current schedules,

their current and foreseeable business 1

needs, and their current and near-term

technological capabilities.

The Work Group recognizes that some

agencies currently do not have a

compelling business need, the

resources, or the technology

infrastructure to support electronic

recordkeeping. Although Federal

agencies are required to manage their

records in all media in accordance with

their business needs, for many offices

that currently means maintaining their

recordkeeping subject or

correspondence files on paper or

microform rather than electronically. At

the same time, agencies are moving at

varying rates toward automating their

business processes to meet their own

needs and those of their customers.

Automated processes generate

electronic records, and agencies will

need to ensure that all electronic

records are properly scheduled.

Agencies are encouraged to submit

their revised schedules as soon as

practicable; however, the Work Group

recognizes that there is a wide variation

in status of approved schedules, current

and foreseeable recordkeeping needs,

and current and planned technological

capabilities across the Federal

government. The Work Group also

recognizes the different sizes and

missions of agencies.

Description of Proposal

The Work Group proposes that in

implementing this report, the Archivist

issue a NARA Bulletin to provide

agencies with guidance on how to

develop and justify schedules for

electronic source records. This

appendix contains the language that the
39190 Federal Register / Vol. 63, No. 139 /Tuesday, July 21, 1998 / Notices

Work Group proposes for the Bulletin.

An agency should choose whichever of

the following alternatives best meets its

needs for managing this scheduling

effort:

(A) Scheduling Electronic Source

Records

Submit a completed scheduling

package (described below) to cover

electronic source records for program

and agency-specific (not covered by the

GRS) administrative records within 180

days of the date of the NARA Bulletin.

Agencies may follow any of the three

models presented here for their

proposed schedules:

• Model 1—an agency would add an

appropriate disposition for the

electronic source records formerly

covered by GRS 20 to every disposition

instruction in its manual or records

schedules.

• Model 2—an agency would

schedule the electronic source records

for selected individual series and

combine other series under one

disposition instruction. The format of

Model 2 allows the agency to obtain the

approval for the dispositions without

having to physically annotate the

dispositions of each series of records.

• Model 3—an agency would provide

for the disposition of all electronic

source records under one schedule item.

Regardless of which model is used,

agencies must submit background

information and justifications (see

questionnaire described in Part I) to

enable NARA to analyze and review the

submissions effectively.

(B) Submit Plan for Scheduling

Electronic Source Records

If an agency cannot determine which

model is most appropriate or prepare

the necessary submissions within 180

days, the agency may, within 120 days,

submit a plan to NARA for the

completion of the scheduling. This plan

must include the following three

elements:

• A statement from the agency head

(or head of the agency component that

will submit the schedule) that schedule

requests cannot be completed within

180 days and a commitment to schedule

the agency’s electronic source records in

accordance with a plan proposed by the

agency and approved by NARA.

• A plan (described below) covering a

period not to exceed two years, for the

submission of proposed schedules for

all electronic source records, with

milestones and partial schedule

submissions provided at pre-determined

intervals.

• A schedule (SF 115) requesting an

interim disposition authority for a

period not to exceed two years for all

electronic source records.

Although the approval of requests for

interim disposition authority will be

expedited by NARA, regulatory

requirements for publication and

comment periods in the Federal

Register for all requests for the

destruction of temporary records will

require at least 90 days.

Agency Action

Selection of Model or Plan

Each agency must determine, after

reviewing its existing approved records

schedules, the most appropriate model

for drafting a proposed schedule that

covers electronic source records

generated on e-mail, word processing,

spreadsheet, graphic presentation and

similar office automation software. In

making a choice between the models,

the agency may wish to ask several

specific questions about the agency’s

office automation systems and

recordkeeping practices:

(1) Are the same office automation

systems and software used throughout

the agency?

(2) When would it be more efficient

to destroy unneeded electronic source

records within each system—at the time

a file copy is generated or at some other

time?

(3) To what extent do the agency’s

office automation systems, used for email, word processing and other enduser computing, have records

management capabilities provided by

electronic recordkeeping systems (e.g.,

they allow users or network

administrators to differentiate between

records and nonrecord material, support

the allocation of records to specific

series or file groupings with retention

periods approved by NARA, and sustain

subject matter searches)?

(4) Will anticipated internal and

external reference and access needs be

adequately met by the records in

presently established recordkeeping

systems (in paper, microform, or other

media) or would these needs be better

met by retaining (in addition to the

record in the recordkeeping system) the

electronic source records in the original

system?

(5) Are the bulk of the file series that

comprise the agency’s recordkeeping

systems covered by up-to-date NARAapproved schedules?

Several factors may influence the

agency’s choice of an alternative and

scheduling model. Both the scheduling

alternative and planning alternative

require the scheduling of electronic

source records. However, the

requirement to schedule the electronic

source records assumes that the agency

has already scheduled most or all of its

recordkeeping series. If this is not the

case, the agency will have to schedule

the recordkeeping series as well as the

electronic source records. This will

affect which of the scheduling models

described below it will choose. In effect,

some agencies will be updating their

schedules at the same time they are

scheduling their electronic source

records.

Agencies may choose to submit a

plan, rather than completing the

requirements for one of the models:

(1) If they are unable to complete the

scheduling within 180 days;

(2) If the agency’s existing schedule is

significantly out of date and must be

revised; and/or

(3) If the agency has not implemented

guidance consistent with current NARA

regulations concerning e-mail and other

electronic records.

When agencies do not have current

disposition authorities for the

recordkeeping copies of series with

electronic source documents, they

should schedule these series through

the usual scheduling process,

submitting SF 115 requests in

accordance with 36 CFR 1228, subpart

A. Agencies are reminded also of the

regulatory requirement to submit to

NARA, within one year, schedules for

the ‘‘records of new programs and of

programs that are reorganized or

otherwise changed in a way that results

in the creation of new or different

records’’ (36 CFR 1228.26).

Description of Models

Model 1—an agency would add an

appropriate disposition for the

electronic source records formerly

covered by GRS 20 to every disposition

instruction in its manual or records

schedules.

Description: Agencies may wish to

revise and/or develop individual

disposition instructions for the

electronic source records generated by

office automation systems in each

scheduled program and agency-specific

administrative series and allow for

varied retention periods by series. In

that case, agencies would list each of

their series and provide disposition

instructions for the electronic source

records.

Appropriate Usage: This scheduling

model is most appropriate when:

(1) The agency has determined that it

has a business need and the

technological capabilities to maintain

electronic source records in addition to

the paper (or electronic) records which

are maintained as the recordkeeping

copy and the electronic source records
Federal Register / Vol. 63, No. 139 /Tuesday, July 21, 1998 / Notices 39191

need to have varying retention periods;

or

(2) The agency has already planned to

revise its schedules, and will be able to

accomplish this within the 180-day time

frame or will submit incremental

schedules under an approved plan.

Example. Disposition statement for series of

official decision of the Commission.

Official Decisions of the Commission

a. Signed copies of the official decisions:

Official signed copies of the decisions

maintained as the official record. Permanent.

Transfer the official signed copies of the

decisions to the National Archives in

llyear blocks whenllyears old.

b. Electronic copies of Commission

decisions

Electronic copies of decisions published on

CD–ROM. Permanent. Transfer a copy to the

National Archives upon publication.

c. Electronic Source Records.

Electronic records in word processing files

used to create both Items a and b. Delete after

the recordkeeping copy and the electronic

publication copies have been produced.

Individual records may be retained for a

limited period of time to facilitate other

operational activities such as updating or

revision.

Model 2—an agency would schedule

the electronic source records for

selected individual series and combine

other series under one disposition

instruction. The format of Model 2

allows the agency to obtain the

approval for the dispositions without

having to physically annotate the

dispositions of each series of records.

Description: Model 2 allows agencies

to group together those series for which

there is a common disposition and

provide separate dispositions for the

series where the retention and

disposition needs are different. Under

Model 2, an agency may submit a

schedule that provides uniform

disposition instructions for most

electronic source records and separate

dispositions for particular series,

functions or organizational components

where needed to meet agency business

needs, including internal or external

reference needs. A variant of this model

would be to develop one or more

dispositions applicable to the electronic

source records for multiple records

series within a broad functional area or

business process where a common

disposition is appropriate. Such a

schedule might include separate

dispositions for the electronic source

records for functions or processes such

as regulatory development, planning,

application review, project

management, or any business process or

function in the agency. In either case,

the schedule will consist of two parts:

(1) item(s) for groupings of records with

the common disposition instructions,

and (2) items that are exceptions to that

common disposition. NARA will

provide a series-based review of the

program records and a more general

review of the administrative series,

based on the agency questionnaires

provided with the agency submissions.

Appropriate Usage: This scheduling

option is most appropriate when the

agency intends to schedule the majority

of its electronic source records in one

schedule item (i.e., Model 3) but has

identified one or more records series, or

the collective series of one or more

organizational components of the

agency, where it is in the agency’s

interest to retain the electronic source

records for different periods of time. For

example, when specific documents

serve as models that are reused, with

appropriate modifications, in a number

of cases, and the agency’s recordkeeping

system is on paper, keeping the source

document in electronic form would

facilitate reuse.

Sample Wording for the Schedule Item

Covering Most of the Records Series

1. This schedule covers the electronic

source records for those series whose

disposition was previously approved by

NARA under the following SF 115s (or

agency published disposition manual)

currently in effect: (List the previously

approved schedule items or agency

disposition manuals included in coverage).

Electronic source records maintained in

addition to the copy preserved in an agency

recordkeeping system. Includes records in all

formats/media that are used as sources for

the creation of a recordkeeping copy, such as

electronic records that remain on electronic

mail and word processing applications after

the recordkeeping copy has been produced.

Delete electronic source records after a

recordkeeping copy has been produced.

Individual electronic source records may be

retained for a limited period of time to

facilitate other operational activities such as

updating or revision.

[A numbered list of the exceptions to this

general disposition would follow. Exceptions

can be by series, business process, function,

or unit. The basic format for exceptions

would include identification of the type of

record, component, function, or other

identification as appropriate; citation to the

approved schedule where the record copy is

scheduled, and disposition. This list

provides examples of each type of exception.

Actual agency schedules might use one or

more of these types of exceptions based on

their needs. In actual practice some items

may need to be subdivided into sub-items.]

Examples of exceptions by series

2. Exceptions

a. Budget Development Spreadsheets.

Record copy included in the budget case

file scheduled for disposal in N1-XX-XX-X.

Upon completion of budget cycle, transfer

(move) electronic source record to Budget

Directory. Delete from Budget Directory

when lll years old.

b. Appraisal Memorandums.

Record copy included in the appraisal case

file scheduled for permanent retention in N1-

XX-XX-X. Upon approval of schedule

transfer (move) electronic source record to

Appraisal Memorandums Directory. Delete

when superseded or obsolete, or when 3

years old, whichever is sooner.

c. Quarterly Narratives.

Record copy scheduled for permanent

retention in . Upon approval of office head,

transfer (move) electronic source records to

Quarterly Narratives Directory. Maintain for

—— years, then delete.

d. Press Releases

Record copy (paper) scheduled for

permanent retention in N1-XX-XX-X. Upon

issuance of press release, transfer (move)

electronic source record to Official Electronic

Press Release Directory maintained by Public

Affairs. Transfer copies of these press

releases in electronic form to the National

Archives on an annual basis according to

procedures in 36 CFR 1228.188 and

1228.190.

Example of exceptions Based on Agency

Function

Electronic Mail and Word Processing

Source Records Relating to White House and

Congressional Inquiries. Electronic mail

messages and word processing records

created by all components in responding to

Congressional Committee and Presidential

correspondence. Record copy scheduled for

permanent retention in N1-XX-XX-X. Delete

ll years after component office input is

completed.

Example of Exception Based on Business

Process

Electronic Source Records Relating to the

Development of Regulations

Electronic source records used to produce

recordkeeping documents for 11 individual

series that together document the process of

regulatory development. These series are

currently scheduled under the following

schedules: N1–XXX–XX–XX (Items x, x, x);

NC1–XXX–XX–XX (items X,x, and x), etc.

Following production of the recordkeeping

copy, maintain a copy of each source

document until the completion of regulatory

development process, then destroy.

Example of Exceptions Based on Agency

Component

Electronic Source Records of the Executive

Secretariat, Office of the Secretary Program

Correspondence and Messages.

Record copy (paper) scheduled for

permanent retention in N1–XX–XX–X.

Transfer (move) to appropriate Program

Correspondence Directory. Cut off annually.

Transfer to NARA in accordance with the

disposition for the Secretary’s paper file and

according to procedures in 36 CFR 1228.188

and 1228.190.

Model 3—an agency would provide

for the disposition of all electronic

source records under one schedule

item.

Description: Under Model 3, the

agency may propose a single item to
39192 Federal Register / Vol. 63, No. 139 /Tuesday, July 21, 1998 / Notices

cover all of the agency’s electronic

source records. The single item should

identify all of the records disposition

schedules to which it applies by citing

EITHER the appropriate agency

published disposition manuals OR the

approved disposition schedule(s)

(NARA registration number for the SF

115). Agencies also may implement this

model by submitting a schedule with

one item for all program records and

one item for all administrative records,

or a schedule with separate schedule

items for electronic source records from

electronic mail messages and electronic

source records from word processing

files.

Agencies who choose this model

should recognize that NARA may

propose exceptions to the single

disposition (along the lines of Model 2)

when it appears from NARA’s review

that there are reasons for specifying

individual retentions for the electronic

source records of certain series,

functions, or organizations. NARA’s

review of the schedule will be seriesbased even though the Model 3

schedule groups all series for

disposition. NARA’s review will be

based on the information provided in

the questionnaires completed by

agencies (Part I) and the agency’s

existing schedules. NARA’s Federal

Register notice will provide the public

the opportunity to review the schedules

on a series basis also by listing the

approved records schedules or

disposition manual to which the new

item would apply.

Appropriate Usage: This model may

be used when the agency determines,

after conducting a review of its

schedules, that it has no present

business need to maintain the electronic

source record on the originating

application and the same disposition is

appropriate for the electronic source

record copy of all of its office

automation-generated records not

covered by the General Records

Schedules. This scheduling option

represents an interim step as agencies

develop the capacity for better

management of their electronic records.

Model 3 is most appropriate when the

agency (1) has an up-to-date schedule,

(2) has little or no capability for

electronic recordkeeping, (3) has no

present business need for maintaining

records electronically, and (4)

determines that the public interest is

adequately served by the recordkeeping

copies. Model 3 is also most appropriate

for agencies that have scheduled series

in electronic recordkeeping systems to

provide disposition authority for the

electronic source records.

Sample Wording

This schedule covers the electronic source

records maintained in the originating e-mail,

word processing, spreadsheet, or

presentation office automation applications.

The disposition of the recordkeeping copy

was previously approved by NARA under the

following SF 115s (or agency published

disposition manuals) currently in effect: (List

the previously approved schedules included

in coverage.) These electronic source records

are not maintained in recordkeeping systems

and analysis has shown that these electronic

records are not necessary to support the

business needs of the agency.

Appropriate Disposition Instructions:

Agencies may use the disposition

instructions provided in NWM 06–98

(Delete when file copy is generated or

when no longer needed for reference or

updating, whichever is later) or may

propose a longer retention period.

Submitting a Planning Package for

Scheduling Electronic Source Records

Agencies unable to submit schedules

for all electronic source records within

the time frame set by the NARA bulletin

must submit a planning package to

NARA within 120 days. The planning

package must include a statement from

the agency head that comprehensive

schedule requests cannot be completed

within 120 days, a commitment to a

plan for the scheduling of electronic

source records within no more than two

years, and a request for an interim

disposition authority for all electronic

source records.

The agency plan must contain a time

line with milestones for completing a

review of the agency’s existing records

schedules and for submitting SF 115’s

based on that review. NARA intends to

work closely with the agency to ensure

that the plan is realistic and that the

agency demonstrates steady progress in

meeting its milestones. The following

parts of the planning package can be

organized to meet the agency’s

particular needs, but all parts must be

present:

• Assessment of the completeness

and currentness of the agency

disposition schedule. The agency must:

(1) Identify segments of the schedule

that are out-of-date and assess what

work must be done to bring the

schedule up to date (e.g., inventory or

survey records-holding units, update

organizational references).

(2) Identify program areas that are not

covered by the agency disposition

schedule and assess what work must be

done to prepare the SF 115 to cover

those records.

If the agency cannot perform a

detailed assessment of the agency

disposition schedule before submitting

the plan, completion of the detailed

assessment must be one of the early

milestones of the plan. The minimum

assessment provided with the plan must

include the date(s) of the latest changes

to the agency disposition schedule and

a preliminary assessment, by chapter or

program area.

• Milestones for taking actions.

NARA expects agencies to submit

incremental SF 115’s covering segments

of their activities throughout the period

that the plan is in effect to demonstrate

steady progress in scheduling their

program and unique administrative

records. Each incremental SF 115 must

be accompanied by a completed agency

supplementary information

questionnaire (see Part I)

• Disposition Request (SF–115) for

interim disposition authority for

electronic source records. Since the

implementation of the plan may take a

considerable period of time, agencies

should submit an interim SF 115 to

authorize disposition of the electronic

source records from office automation

applications for the period of time that

the plan covers. This interim schedule

will normally follow the format of

Model 3 as described above, will be

reviewed by NARA, and published for

comment in the Federal Register. The

interim disposition authority will

remain in force no longer than the time

period of an approved agency plan.

Incremental schedules that are

submitted (in accordance with the plan

milestones) and approved will

supersede the interim disposition

authority for the records they cover.

NARA Action

Schedule Review

NARA will review agency

submissions and work closely with the

agencies to approve their schedules

and/or plans in a timely manner. NARA

recognizes the need to act as quickly as

possible to ensure that agencies have

approved dispositions for their office

automation records not needed for the

conduct of agency business and NARA

will develop procedures to streamline

the processing of these schedules. Even

streamlined procedures must include,

however, a 90-day-period for the

preparation and publication of

disposition requests in the Federal

Register and the review and analysis of

any comments received.

NARA’s review of disposition

requests for electronic source records

will focus on the agency’s reports

describing their technological

capabilities, business needs, and status

of e-mail and other electronic

recordkeeping guidance. NARA’s review

will be a series-based review for
Federal Register / Vol. 63, No. 139 /Tuesday, July 21, 1998 / Notices 39193

program records and a more general

analysis for administrative records.

Plan Review

NARA will review and approve those

agency plans for completing the

scheduling of electronic source records

that provide for the submission in a

timely fashion of incremental schedules

that will, within the time specified,

cover the electronic source records of all

of its program and agency-specific

administrative records (administrative

records not covered by GRS 1–16, 18,

and 23). If an agency’s existing records

schedules do not cover all of its program

and unique administrative records, the

agency must also submit updated

schedules for those records, following

the instructions in NARA Bulletin 98–

02. NARA will normally approve as

submitted the requests for interim

disposition authority included with

approved agency plans. NARA may,

however, propose exceptions for

specific series that it determines

warrants longer retention.

Public Notice for Review of SF 115’s

NARA will publish notices in the

Federal Register for all schedules

submitted following its normal practice,

except that the schedules will be

identified as specifically proposing

dispositions for electronic source

records. Following NARA’s recently

instituted practice, copies of appraisal

memoranda may be requested for review

with the schedule. For interim

disposition authority requests

associated with a plan, commenters may

request a copy of the agency’s proposed

plan to use in their review of the

disposition request.

When a copy of a schedule is

requested, NARA also will provide the

list of schedule citations (NARA job

numbers) or published agency manual

citations submitted by the agency for

previously approved schedules that are

being updated to include dispositions

for electronic source records from office

automation applications. This will

allow the public the opportunity to

review the proposed dispositions on a

series basis. The Federal Register

notices will indicate if the cited

previously approved schedules can be

reviewed on NARA’s Internet ARDOR

(Agency Disposition Online Resource)

site (http://ardor.nara.gov). If the

previously approved schedules or

agency manuals are not available

electronically from NARA, requestors

can review them at the Archives II

building in College Park, MD, or can

request copies of them. Copies will be

furnished on a fee basis, with the first

100 pages furnished free.

Part I—Questionnaire To Be Answered

by Agencies for Each Electronic Source

Records Disposition Request (SF 115)

(In addition to a signed copy of the

disposition request (SF 115), please

provide copies on disk in WordPerfect

or Microsoft Word format of the request

and the related completed

questionnaire, to expedite processing.)

NAME OF AGENCY

CONTACT PERSON

(Person to contact if NARA has

questions about this submission. Please

include name, telephone number, and email address)

DATE OF ELECTRONIC SOURCE

RECORDS DISPOSITION REQUEST:

(Please attach copy of SF 115

submission)

1. How many separate disposition

requests for electronic source records

have been submitted by the agency?

2. Which agency components/

functional areas/business processes are

covered by this disposition request? For

each agency component or functional

area or business process, provide the

name or description. (Please note that

each major agency component or

functional area should be described in

a separate response to this

questionnaire. However, if some of the

answers are true for all components of

the agency, please provide one agency

response and reference that item on the

questionnaire response for each

subsequent subunit.)

3. What scheduling model is used in

this disposition request (Models 1, 2 or

3)?

4. Why did your agency choose this

model? If you are proposing a

disposition that deletes electronic

source records upon creation of a

recordkeeping copy, please explain how

this disposition will allow for you to

address your agency’s business needs

(the need to conduct agency business,

maintain a record of essential activities

and decisions for agency use, support

oversight and audit of those activities,

and permit appropriate public access).

5. List NARA approved disposition

authorities that are covered by this

disposition request for this agency

component or functional area. (List

schedule and item numbers, or refer to

agency printed manuals. If manuals are

cited, please provide with this request a

copy of the most recent manual.)

6. Are you using an electronic

recordkeeping system for managing

records generated by office automation

systems? If yes, are you using a COTS

system (please specify which one) or a

system developed specifically for your

agency?

[Note: An electronic recordkeeping

system has the functionalities listed in

question 7 (a)–(h)]

7. If answer to #6 is no, do the office

automation systems for this component

or functional area have any of the

functions described below that are

generally associated with electronic

recordkeeping systems? Does the system

allow users or system administrators to:

(a) Differentiate between records and

non-record material;

(b) Associate transmission

information with content of e-mail

records;

(c) Ensure that records cannot be

changed after designation as records;

(d) Support allocation of records to

specific series or file codes;

(e) Integrate approved NARA

retention periods into series

designations or file codes used;

(f) Support subject matter searches;

(g) Implement shared directories by

agency component or functional unit;

and/or

(h) Provide appropriate formats for

transfer of permanent electronic records

to NARA (see the requirements in 36

CFR 1228.188).

8. Does your agency component or

functional area use COTS document

management software? If so, what

systems are used?

9. Has the agency issued guidance on

electronic records management, e-mail

and/or recordkeeping guidance that

applies to this functional area? Which of

the following topics does this guidance

cover:

(a) Distinguishing records from nonrecord material;

(b) Providing for transfer of complete

electronic records (including

transmission data with content for file

copies of e-mail, for instance) to the

recordkeeping system;

(c) Record status of drafts;

(d) Filing of electronic records in

shared directories;

(e) Naming conventions for electronic

records;

(f) Instructions for filing record copies

of electronic source records in approved

recordkeeping systems (paper,

electronic, microform, other); and/or

(g) Protecting integrity of records in

individual or shared directories.

10. What efforts has this organization

component/functional area made to

ensure that staff comply with e-mail and

other electronic recordkeeping

guidance, including formal and informal

training and internal audits/

evaluations? What is the scope, content,

and frequency of training? Have audits
39194 Federal Register / Vol. 63, No. 139 /Tuesday, July 21, 1998 / Notices

or evaluations of systems covered in this

disposition request included review of

the implementation of electronic

records guidelines or policy?

11. To what extent are the records of

this agency component or functional

area (excluding administrative records

covered by GRS 1–16, 18, and 23)

covered by NARA-approved schedules?

Are there significant omissions in

schedule coverage? If so, specify the

relevant office, program, or function.

What is the date of the latest major

schedule revision or review?

Part II: NARA Bulletin 98–02,

Disposition of Electronic Records

The text of NARA Bulletin 98–02 is

provided here for convenience of

reviewers. It was distributed to Agency

Heads, Records Officers, and

Information Management Officials

previously and is in effect.

NARA Bulletin 98–02

March 10, 1998

TO: Heads of Federal Agencies

SUBJECT: Disposition of electronic records

1. Purpose. This bulletin reminds agencies

of their responsibilities for ensuring adequate

documentation of agency activities and

provides guidance to Federal agencies

concerning new procedures for submitting

records schedules covering new or revised

series.

2. Expiration. This bulletin will remain in

effect until October 31, 1998, unless

superseded earlier. Agencies will be notified

by NARA bulletin of new procedures for

authorizing disposition of electronic records

resulting from the recommendations of the

Electronic Records Work Group to the

Archivist of the United States.

3. Background.

a. Agency heads are required by 44 U.S.C.

3101 to ‘‘make and preserve records

containing adequate and proper

documentation of the organization, functions,

policies, decisions, procedures, and essential

transactions of the agency. * * *’’ NARA

regulations at 36 CFR Part 1222 specify

agency recordkeeping responsibilities,

including standards for recordkeeping

requirements. NARA regulations at 36 CFR

Part 1234 Subpart C specify standards for

managing the creation, use, preservation, and

disposition of electronic records.

b. Last October 22, 1997, the U.S. District

Court for the District of Columbia issued an

order declaring NARA’s General Records

Schedule (GRS) 20 ‘‘null and void.’’ The

court’s order was in response to a suit filed

by Public Citizen and other organizations

against the Archivist of the United States, the

Executive Office of the President (EOP), the

Office of Administration, and the United

States Trade Representative. The Government

has filed an appeal of the court’s declaratory

judgment. The Department of Justice has

advised that pending the appeal, government

agencies may continue to rely upon GRS 20.

c. Although the Government has appealed

the court’s decision, fundamentally NARA

believes that the Government needs to

develop a better approach to the disposition

of records created on word processing and

electronic mail applications. NARA’s

Strategic Plan includes several strategies for

improving the management of electronic

records. As part of one of these strategies,

NARA is re-evaluating how it approves the

disposition of electronic records. To focus

NARA’s efforts on changing GRS 20, NARA

has formed an interagency Electronic Records

Work Group, consisting of select NARA staff,

Federal records officers, and information

management specialists, with oversight by

the Deputy Archivist of the United States.

The Work Group is to have recommendations

to the Archivist by July 1 and an

implementation plan by September 30, 1998.

4. Agency recordkeeping requirements.

Agencies are reminded that NARA

regulations provide guidance and

requirements on recordkeeping policies and

practices to assist agencies in ensuring

adequate and proper documentation of

agency activities. To support operational

needs, protect rights, and allow

accountability, agencies must create and

preserve complete records in designated

recordkeeping systems.

a. To ensure complete documentation,

records, including those generated

electronically with office automation

applications, should include proper

identification of originators and recipients,

appropriate dates, and any other information

needed by the agency to meet its business

needs. Records generated with an office

automation application must be copied to a

recordkeeping system where they will be

maintained as long as they are needed by the

Government.

b. Proper recordkeeping systems organize

or index records to provide context and to

allow appropriate staff access to all records

relating to a specific transaction, project,

study, or subject. Recordkeeping systems

may be in paper, micrographic, or electronic

format.

5. Impact on scheduling. While NARA is

reconsidering its policies on the disposition

of electronic records generated with office

automation applications and pending the

recommendations of the Work Group, NARA

advises agencies to follow the instructions

provided below.

a. Subsequent to the issuance of this

bulletin, new and revised items on SF 115s,

Request for Records Disposition Authority,

submitted for NARA approval must include

provision for the disposition of both the copy

of a record that resides on electronic mail or

other office automation application, and the

copy maintained in the recordkeeping

system:

(1) When new and revised items include

records generated on office automation

applications, the description on the proposed

schedule should indicate that records were

generated using office automation, AND

(2) For each such item the proposed

schedule should provide separate disposition

instructions for the recordkeeping system

described in the schedule and for the

electronic copy created by the office

automation application.

b. Agencies should monitor the Electronic

Records Work Group Internet Web page at

http://www.nara.gov/records/grs20/ and

submit comments and suggestions to the

Work Group on Work Group documents

posted for comment.

6. NARA action. NARA will provide

guidance and assistance to agency records

officers concerning recordkeeping

requirements and new scheduling

procedures. NARA will advise agencies

promptly of any Court action affecting

maintenance and disposition of electronic

records.

7. For further information. Please direct

questions or comments to Michael Miller,

Modern Records Programs, National Archives

and Records Administration, 8601 Adelphi

Road, College Park, MD 20740–6001

(telephone: 301–713–7110, ext. 229) or by

electronic mail to <grs20@arch2.nara.gov≤.

John W. Carlin,

Archivist of the United States.

Part III: NWM 06–98, Memorandum to

Agency Records Officers and

Information Management Officials

The text of NWM 06–98 is provided here

for the convenience of the reviewer. It has

been issued to the addressees.

March 13, 1998

NWM 06–98

MEMORANDUM TO AGENCY RECORDS

OFFICERS AND INFORMATION

MANAGEMENT OFFICIALS: Disposition of

Electronic Records and Other Matters

Enclosed is a copy of NARA Bulletin 98–

02 which the Archivist of the United States

sent to heads of Federal agencies concerning

significant recent events relating to the

disposition of Federal electronic records. The

bulletin provides an update on the status of

the litigation concerning General Records

Schedule 20, Electronic Records and reminds

agency heads of their recordkeeping

responsibilities. Even though the

Government has filed an appeal of the

District Court’s declaratory judgment, the

plaintiffs recently filed a motion asking the

District Court to schedule a hearing on the

plaintiffs’ request for an injunction requiring

the Archivist to instruct agencies that they

cannot rely upon GRS 20 as authority to

dispose of records. The District Court has

granted the motion for a hearing, which is

scheduled for March 20, 1998.

The bulletin also establishes a new

procedure for scheduling electronic mail and

other records created with office automation

applications. As indicated in paragraph 5 of

the bulletin, when agencies submit schedules

(SFs 115) to NARA for approval, the

description for new or revised items that

include records generated with word

processing, electronic mail, or other office

automation applications must indicate the

presence of such records and provide a

separate disposition instruction for the

copies of the records that remains on the

originating application. The following

example contains the necessary components.

1. Program Subject File.

Correspondence, reports, studies, forms,

and other records relating to the program,

documenting plans, progress, and

accomplishments. Includes records generated

with word processing and electronic mail

applications.
Federal Register / Vol. 63, No. 139 /Tuesday, July 21, 1998 / Notices 39195

a. Official file.

Destroy when 5 years old.

b. Electronic version of records created by

the electronic mail and word processing

applications.

Delete when file copy is generated or when

no longer needed for reference or updating.

This approach will better document the

nature of the series and give NARA the

opportunity to consider the existence of

electronic versions of records when

approving schedules. If you have any

questions about the new scheduling

procedures, contact the NARA staff member

assigned to work with your agency.

The Electronic Records Work Group

referred to in NARA Bulletin 98–02 has

identified a series of possible options for

replacing GRS 20, or parts of it, and other

mechanisms for the disposition of certain

types of electronic records. A paper,

‘‘Preliminary Options for Replacing GRS 20,’’

has been posted for public comment on the

Internet Web site for the Work Group at

<http://www.nara.gov/records/grs20/

opt312.html>. As the work group has a tight

deadline, we need your comments and

suggestions by March 31. You may contribute

to this effort by sending an electronic mail

message to grs20@arch2.nara.gov; by sending

a letter to Electronic Records Work Group,

National Archives and Records

Administration, 8601 Adelphi Road, Room

2100, College Park, MD 20740–6001; or by

sending a facsimile transmission to 301–713–

6852. If you send mail, please allow

sufficient time for it to arrive by March 31.

The Work Group may not be able to fully

consider materials that arrive after that date.

Any comments that you submit will be

considered your personal views unless you

indicate that they represent your agency’s

comments.

Also enclosed is NARA Bulletin 98–01,

Checklist of NARA bulletins, which provides

a list of bulletins issued prior to fiscal year

1998 that are still in effect.

Michael L. Miller,

Director, Modern Records Programs.

[FR Doc. 98–19466 Filed 7–20–98; 8:45 am]

BILLING CODE 7515–01–P

NATIONAL ARCHIVES AND RECORDS

ADMINISTRATION

Electronic Records Work Group Draft

Report; Appendix D

AGENCY: National Archives and Records

Administration (NARA).

ACTION: Request for comment.

SUMMARY: This notice contains the

Electronic Records Work Group’s

proposed Appendix D. Appendix D

addresses the second Work Group

recommendation, that NARA modify the

General Records Schedules (GRS) to

authorize the destruction of copies of

administrative records covered by those

GRS that are not needed for

recordkeeping purposes after a

recordkeeping copy has been produced.

This appendix proposes a new item to

be added to General Records Schedules

1–16, 18, and 23 to provide the

disposition authority previously

provided by GRS 20.

Because the proposed disposition for

these GRS records is being published in

full text for public comment as part of

this notice, the Work Group believes

that this notice will serve as the Federal

Register notice required by 44 U.S.C.

3303a. Therefore, the Work Group

believes that NARA will not need to

publish a separate Federal Register

records schedule notice for this GRS

change unless the GRS disposition

language is revised substantively in

response to comments and the Archivist

determines that additional public

comment is warranted.

DATES: Comments must be received on

or before August 20, 1998.

ADDRESSES: Comments may be sent

electronically to the e-mail address

<grs20@arch2.nara.gov≤. We ask that

lengthy attachments be sent in ASCII,

WordPerfect 5.1/5.2, or MS Word 6.0

format. If you do not have access to

e-mail, comments may be mailed to

Electronic Records Work Group (NPOL),

Room 4100, 8601 Adelphi Rd., College

Park, MD 20740–6001, or faxed to 301–

713–7270.

FOR FURTHER INFORMATION CONTACT:

Michael Miller at 301–713–7110, ext.

229.

SUPPLEMENTARY INFORMATION: In

addition to your comments on the

proposed GRS changes which are

presented in Appendix D at the end of

this notice, we also ask your comments

on the following question:

D1. Are the definition of program

records and administrative records

clear?

Dated: July 16, 1998.

Lewis J. Bellardo,

Deputy Archivist of the United States.

Appendix D: Proposal To Revise The

Entire GRS To Cover all Formats of the

Administrative Records Included

Therein

Background

In the 1995 edition of the General

Records Schedules, GRS 20, items 13,

14 and 15, authorized the deletion of

electronic source records that remained

on electronic mail and word processing

systems after a record was produced for

inclusion in a recordkeeping system.

The disposition of the recordkeeping

system would be governed by a separate

GRS or agency schedule item. This

authority was challenged in a court suit

on the basis that the GRS cannot

provide Governmentwide authorization

for destruction of electronic mail

messages and word processing records

that qualified as program records. As

stated in the draft report of the

Electronic Records Work Group, the

Archivist has determined that the GRS

will be limited to common

administrative records, and he charged

the Electronic Records Work Group to

develop guidance to distinguish

between administrative and program

records. This appendix provides that

guidance and recommends changes to

the GRS to replace GRS 20, items 13, 14,

and 15, and include other source

records.

Proposed Definitions

Program records are those records

created by each Federal agency in

performing the mission of the agency.

The agency’s mission is defined in

enabling legislation and further

delineated in formal regulations.

Administrative records are those

records created by several or all Federal

agencies in performing common

facilitative functions that support the

agency’s mission activities, but do not

directly document the performance of

mission functions. Administrative

records relate to activities such as

budget and finance, information

management, human resources,

equipment and supplies, facilities,

public and congressional relations,

contracting, and legal matters not

directly related to the agency’s core

mission (e.g., adherence to general

statutes such as laws on procurement,

privacy, and government ethics).

While both program and

administrative records are needed for

the agency to accomplish its mission,

the distinction is important for the

scheduling of an agency’s records.

Discussion

The General Records Schedules (GRS)

issued by the National Archives and

Records Administration (NARA) in

accordance with 36 CFR 1228.40 apply

to certain administrative records created

by several or all agencies. Their purpose

and maintenance requirements are

generally standard from agency to

agency. The GRS provide mandatory

disposition authority for those records,

unless an agency receives an exception

from NARA.

All program records and

administrative records not covered by a

GRS must be scheduled by the creating

agency. Many agencies have records

relating to administrative functions that

are not described in the GRS. These

records may supplement the records

covered by the GRS or they may be

organized or maintained in a way that