39196 Federal Register / Vol. 63, No. 139 /Tuesday, July 21, 1998 / Notices

make application of the GRS

inappropriate. If records described in

the GRS are part of a larger file series

and cannot be economically segregated,

the agency schedule for the series, not

the GRS, would control the disposition

of the entire series. Agencies also have

administrative records that are not

appropriate for GRS coverage because

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).

The Work Group recommends that a

new item be added 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 source records

generated using electronic mail, word

processing, and other office automation

systems. This authority is needed

because the electronic source record

that remains on the office automation

application is a record, in addition to

the record in the recordkeeping system.

This new item is appropriate for

inclusion in the GRS because the GRS

applies only to administrative records.

This new item is recommended because

unlike unique agency program records,

the Work Group believes that the

electronic source records of records

covered by the GRS have virtually no

potential for unique or added value.

Consequently, unlike program records,

the source records need not be

appraised in a series-based manner.

(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 electronic source records

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was withdrawn in a previous edition of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 proposed by the Work

Group would align the disposition

authority for the 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.

Proposed Changes

1. 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 items in GRS 1–16, 18, and 23,

apply to records that contain the

information described in the schedule.

The coverage is neutral with respect to

the recording medium. 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.’’

2. New Item to be Added at the End of

GRS 1–16, 18, and 23

‘‘Records Maintained Apart From a

Recordkeeping System.’’

‘‘Records, including electronic source

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 electronic mail and word

processing utilities after the record for

the recordkeeping system has been

produced.

‘‘Destroy/delete after the

recordkeeping copy has been produced.

Electronic source records may be

maintained for a limited period of time

for operational purposes other than

recordkeeping, such as updating.’’

3. 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 utilities after a

record has been produced for inclusion

in a recordkeeping system.’’

[FR Doc. 98–19467 Filed 7–20–98; 8:45 am]

BILLING CODE 7515–01–P

NATIONAL ARCHIVES AND RECORDS

ADMINISTRATION

Electronic Records Work Group Draft

Report; Appendix E

AGENCY: National Archives and Records

Administration (NARA).

ACTION: Request for comment.

SUMMARY: This notice contains the

Electronic Records Work Group’s

proposed general records schedule

(GRS) to cover information technology

records common to many or all Federal

agencies. The proposed GRS would

implement the Work Group’s proposed

recommendation that NARA should

revise GRS 20 disposition authorities to

cover only systems administration (or

systems management) and operations

records and that the new schedule

should cover only administrative

records. Agency systems records for

program (mission-related) activities will

not be covered by the proposed GRS.

The Work Group intends to

recommend to the Archivist a proposed

new GRS for information technology

records based on the comments received

during this comment period. Because

we expect a number of comments on

fundamental issues relating to the

approach that the GRS should take and

the records that should be covered, we

believe that the draft that will be

submitted to the Archivist of the United

States in September will require an

additional Federal Register comment

period before NARA issues it in final

form.

DATES: Comments must be received on

or before August 20, 1998.

ADDRESSES: Comments may be sent

electronically to the e-mail address

<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.
Federal Register / Vol. 63, No. 139 /Tuesday, July 21, 1998 / Notices 39197

FOR FURTHER INFORMATION CONTACT:

Michael Miller at 301–713–7110, ext.

229.

SUPPLEMENTARY INFORMATION: The

proposed GRS is contained in Appendix

E, which appears at the end of this

document. Your comments are

requested on the proposed GRS and in

response to the following questions:

E1. Do the items in the proposed GRS

accurately describe records with which

you are familiar? Please identify any

items (series) that do not reflect systems

administration records as currently

practiced.

E2. Unlike GRS 20, this proposal

divides records into more detailed

groupings and provides specific

retentions for each. Is this helpful?

Would agencies prefer this approach

with greater detail and separate

dispositions for each specific type of

record, or an approach that combines

multiple detailed items into larger series

with a single disposition whenever

appropriate?

E3. The proposed GRS is not

presented in the format normally used

in the GRS. Do you find this chart

format helpful?

E4. Would fewer, more uniform

retention periods better suit agency

needs? Discussion: Some agencies have

suggested that fewer, more uniform

retention periods that are tied to a

specific date (e.g., when 3 years old) and

not an event (e.g., after 3 backup cycles)

are easier to implement for series

covered by a GRS.

E5. Does your agency have other

information technology (IT) records

relating to administrative functions not

described in this proposed GRS that

could be included in a GRS? You are

reminded that the GRS will not cover an

agency’s program (mission-related)

records. For a complete discussion of

the distinctions between program

records and administrative records,

please see the introduction to the draft

Appendix D, which is presented in a

separate notice earlier in this separate

part.

Dated: July 16, 1998.

Lewis J. Bellardo,

Deputy Archivist of the United States.

Appendix E: Proposed General Records

Schedule, Information Technology

Records

The Electronic Records Work Group

has developed a preliminary draft of a

General Records Schedule that would

provide disposition authorities for

records specifically related to the

development, management and

operation of computer systems, and

digital networks. Records include those

relating to system development and

implementation, computer and network

operations and technical support, office

automation and user support, and data

administration. The schedule is

designed to conform with common

practices in information technology (IT)

management and operations.

The most significant differences

between this draft schedule and the

1995 version of GRS 20 is that the

proposed draft GRS eliminates

disposition instructions for:

1. Electronic source records generated

or received on e-mail and word

processing applications for all program

and agency-unique administrative

records (items 13 and 14 in the 1995

GRS 20).

2. Electronic records that support

administrative housekeeping functions

when the records are derived from or

replace paper records authorized for

disposal in an agency-specific schedule

(item 3b in the 1995 GRS 20).

3. Electronic source records

scheduled for disposal under one or

more items in GRS 1-16, 18, and 23

(item 3a in the 1995 GRS 20).

Under the Work Group’s second

recommendation, NARA will include

coverage for the third item in revisions

to those GRS (see appendix D), but the

first two items will have to be included

in agency specific schedules.

This preliminary draft also covers a

wider variety of IT operational records

and the descriptions it includes more

accurately mirror current records and

terminology. Because we believe that

the IT community should be encouraged

to review the draft GRS, the Work Group

has formatted it in a style that we hope

will be more familiar to them than the

traditional GRS format.

The Work Group seeks comments on

both the items to be included and the

proposed retention periods, and

reminds reviewers that GRS retention

periods are mandatory unless the

agency receives a specific exception

from NARA.

When NARA issues a final version

that reflects Federal agency and public

comments, it will follow the format

normally used in the GRS.

Transmittal No. XX

General Records Schedule XX

General Records Schedule XX

Information Technology (IT) Records

Information Technology (IT) records

include general administration records

of data processing units, systems

development records, computer

operation and technical support records,

data administration support records,

user and office automation support

records, network and data

communication services records, and,

Internet services records. (GRS 12,

Communications Records is under

review and will have to be modified at

a later date to address redundancies.)

As defined in the Information

Technology Reform Act of 1996, the

term ‘‘information technology,’’ with

respect to an executive agency means

‘‘any equipment or interconnected

system or subsystem of equipment, that

is used in the automatic acquisition,

storage, manipulation, management,

movement, control, display, switching,

interchange, transmission, or reception

of data or information by the executive

agency.’’ The term ‘‘includes computers,

ancillary equipment, software, firmware

and similar procedures, services

(including support services), and related

resources.’’

This General Records Schedule for IT

records does not cover electronic

records that support the agency’s

mission-related (program) functions

and activities. Program managers and

staff are responsible for developing and

applying retention schedules to those

electronic records retained to meet

program-specific requirements. Data

processing units are often the physical

custodian of program IT records.

Program IT records must be retained to

meet retention requirements specified

by the program area.

IT records not included in this

schedule must be scheduled separately

by the program having the

responsibility and authority to

determine their retention requirements

and final disposition.

This schedule covers the records

described in the following chart,

wherever located within an agency.

Agencies should develop and

implement procedures for effective

purging of electronic records from

automated information systems on a

regular basis. Intermediate storage of

electronic records covered by this GRS

can include down-loading them to offline storage media such as magnetic

tapes or diskettes, prior to final

disposition, i.e., deletion or erasure.

Records should be destroyed when the

retention period has been met, unless

the records are being used in an audit

or legal action. Obsolete records

consume expensive office space and

computer storage capacity, and they can

hinder efficient access and retrieval of

current records.
39198 Federal Register / Vol. 63, No. 139 /Tuesday, July 21, 1998 / Notices

Item No. Description of Records Authorized Disposition

1 ................. GENERAL ADMINISTRATION RECORDS

General Administration includes IT fiscal and personnel administration, planning, and

the coordination of activities within IT units and between an IT unit and other parts

of an agency.

1 a ........... General Information Technology Administrative Files. Correspondence and/or subject

files relating to internal operation and administration of IT services matters not covered elsewhere in this schedule or in another GRS.

Destroy when 2 years old.1

1 b ........... Information Resources Management (IRM) and Data Processing Services Plans.

Data processing services plans, and related records used to plan for information

systems development, technology acquisitions, data processing services provision,

or related areas.

Destroy 3 years after the plan is completed, superseded, or revised. Destroy

copies, drafts, and routine material

when no longer needed by agency.

Records Not Covered:

IRM strategic plans and Information Technology Investment Reviews are program

records and must be scheduled separately by the agency.

1 c ............ Data Processing Policies. Records of data processing policies including those covering access and security, systems development, data retention and disposition, and

data ownership.

Destroy 3 years after policy is withdrawn,

revised, updated, or superseded.

Records Not Covered:

1. Data processing policies for specific mission systems, which must be scheduled

separately by the agency. (Data processing policies for specific systems that are

central to the conduct of the agency’s mission may be permanent records.).

2. Data processing operating procedures (see item 3a).

1 2 d ......... Data Center Records of Calculating Charge—backs to Data Processing Services

Users. Electronic and manual records used to document, and calculate costs, for

computer usage and data processing services. These records are also used for

cost recovery, budgeting, or administrative purposes.

Destroy when 3 years old.

1 3 e ......... Data Center Billing Records. Reports and other records detailing charges for use of

computer services including monthly billing reports, copies of vouchers and bills.

Destroy when 3 years old.

Note: Before disposing of these records, agencies must ensure that no legal actions

have been initiated which might require access to them. If a case-by-case review

of files is impractical, the records should be retained an additional 3 months beyond the minimum retention period.

2 ................. SYSTEMS DEVELOPMENT RECORDS

Systems development covers the IT functions related to the development, redesign,

modification, procurement, and testing of administrative systems as well as to

maintaining the documentation generated by these processes.

Note: Records documenting specific agency mission systems are NOT covered by

items 2a through 2c, and will need to be scheduled separately by the agency.

2 a ........... Systems Development Project Files. Records created and used in the development,

redesign, or modification of an automated system for administrative functions including project management records, status reports, draft system or subsystem

specifications, draft user requirements and specifications, and memoranda and

correspondence.

Destroy 3 years after completion of

project.

2 4 b ......... Data Systems Specifications. User and operational documentation for administrative

systems describing how a system operates from a functional user and data processing point of view including records documenting data entry, manipulation, output and retrieval (often called ‘‘system documentation records’’), records necessary

for using the system, including user guides, system or sub-system definitions, system flowcharts, program descriptions and documentation, job control or work flow

records, system specifications, and input and output specifications.

Destroy 3 years after discontinuance or

replacement of the system, or after all

records on the system are either successfully migrated to a new system or

final disposition actions on them are

completed, whichever is later.

2 c ............ Data Documentation. Data system and file specifications created during development

or modification of administrative systems and necessary to access, retrieve, manipulate and interpret data in an automated system. Includes data element dictionary, information directories, database directories, file layout, code book or table,

and other records that explain the meaning, purpose, structure, logical relationships, and origin of the data elements.

Destroy 3 years after discontinuance of

system or after system’s data is destroyed or transferred to a new structure

or format, whichever is later.

Note: In some cases, agencies will retain data for extended periods, sometimes offline. It is essential that they retain related documentation in an accessible format.

2 5 d ......... Automated Program Listing/Source Code. Automated program code which generates

the machine-language instructions used to operate an automated information system.

Retain for 3 system update cycles after

code is superseded or replaced, then

destroy.

Note: This item coincides with item 3e, System Backup Files. It assumes that the

files are maintained (backed-up) and disposed in accordance with accepted data

processing practice; i.e., that 3 generations of backups be retained (see item 3e).

If this item is adopted into the GRS, there will be a note excluding code created to

‘‘fix’’ Year 2000 problems.

2 e ........... Technical Program Documentation. Paper copy of program code, program flowcharts, program maintenance log, system change notices, and other records that

document modifications to computer programs.

Destroy 1 year after replacement, modification, or related programs cease to

be used.

2 6 f .......... Information Technology Procurement Files. Records used in the procurement of system hardware and software including request for proposals, proposals, quotations

and bids, benchmark/acceptance testing information, correspondence, duplicate

copies of contracts, purchase orders, technical reviews, and vendor information including references and literature on the firm or product line..
Federal Register / Vol. 63, No. 139 /Tuesday, July 21, 1998 / Notices 39199

Item No. Description of Records Authorized Disposition

(1) Contract-related records.7 ......................................................................................... Destroy 6 years after expiration of the

contract.

(2) All other records ........................................................................................................ Destroy 3 years after completion of the

purchase.

2 g ........... Test Database/Files. Routine or benchmark data sets, related documentation, and

test results constructed or used to test or develop a system.

Destroy after user accepts and management reviews and approves test results,

or when no longer needed for operational purposes, whichever is later.

3 ................. COMPUTER OPERATIONS AND TECHNICAL SUPPORT RECORDS

Computer operation and technical support covers the IT functions related to operating systems, maintaining hardware and software, system security, data input services, system backup, tape library operations, job and production control, monitoring system usage, and liaison with hardware and software vendors.

3 a ........... Data Processing Operating Procedures. Records of procedures for data entry, the

operation of computer equipment, production control, tape library, system backup,

and other aspects of a data processing operation.

Destroy 3 years after procedure is withdrawn, revised, updated, or superseded.

3 b ........... Data Processing Hardware Documentation.

(1) Records documenting the use, operation, and maintenance of an agency’s data

processing equipment including operating manuals, hardware/operating system requirements, hardware configurations, and equipment control systems.

Destroy after the agency no longer uses

related hardware and all data is transferred to and made useable in new

hardware environment.

(2) Routine records that do not contain substantial information on the maintenance

history or equipment.

Destroy when one year old.

3 c ............ Operating System and Hardware Conversion Plans. Records relating to the replacement of equipment or computer operating systems.Destroy 1 year after successful conversion.

3 8 d ......... Disaster Preparedness and Recovery Plans. Records related to the protection and

reestablishment of data processing services and equipment in case of a disaster.

Destroy after superseded by revised plan.

Note: Agencies should store disaster preparedness and recovery plans in a secure

area off-site from the computer installation to which they refer.

3 e ........... System Backup Files. Copies of master files or databases, application software, logs,

directories, and other records needed to restore a system in case of a disaster or

inadvertent destruction.

Destroy after 3 system backup cycles.

Records Not Covered:

Backups used to document transactions or retained for purposes other than system

security should be scheduled by the responsible program. For fiscal systems,

monthly system backups are often retained for the entire fiscal year to provide an

audit trail, and annual system backups are retained to meet all legal and fiscal requirements in lieu of copies of the individual master files or databases. These

records should be disposed using items from General Records Schedule 7—Expenditure Accounting Records, or, if they are covered by specific Federal audit requirements requiring longer records retention, scheduled separately by the appropriate program.

Note: It is advisable that for many application systems 2 or 3 copies of backups be

produced during each cycle.

3 9 f .......... System Users Access Records. Electronic or textual records created to control or

monitor individual access to a system and its data created for security purposes,

including but not limited to user account records, security logs, and password files.

Destroy after the individual no longer has

access to the system and after audit requirements for the records modified by

that individual have been met.10

Note: Computer Usage Records (item 3g) may also serve some security purposes

3 g ........... Computer Usage Files. Electronic files or automated logs created to monitor computer system usage including but not limited to log-in files, system usage files,

charge-back files, data entry logs, and records of individual computer program

usage.

Destroy after 3 system backup cycles.

Records Not Covered:

Security logs and related records (see item 3f)

3 h ........... Summary Computer Usage Reports. Summary reports and other paper records created to document computer usage for reporting or cost recovery purposes.Destroy when 1 year old.

3 i ............. Computer Run Scheduling Records. Records used to schedule computer runs including daily schedules, run reports, run requests, and other records documenting

the successful completion of a run.

Destroy when 1 year old.

3 j ............. Data Processing Unit’s Copies of Output Reports. Data processing unit’s copy of output reports produced for client programs.Destroy after output is distributed.

3 k ............ Tape Library Records.

(1) Automated System Files. Automated records used to control the location, maintenance, and disposition of magnetic media in a tape library.Destroy after related records or media are

destroyed or withdrawn from the tape library.

(2) Tape Library Control Records. Records used to control the location, maintenance, and disposition of magnetic media in a tape library including list of holdings

and control logs.

Destroy after superseded.

3 l ............. Reports on the Destruction of Files (‘‘Scratch Reports’’). Records containing information on the destruction of files stored on electronic media in a tape library.Destroy after superseded or (if required)

management review and approval.

4 ................. RECORDS CREATED TO FACILITATE, OR CREATED IN THE COURSE OF,

PROCESSING OR TRANSMITTING ELECTRONIC RECORDS
39200 Federal Register / Vol. 63, No. 139 /Tuesday, July 21, 1998 / Notices

Item No. Description of Records Authorized Disposition

Records created solely to support computer processing or communications. Excludes

all records needed to document program or administrative functions.

4 a ........... Input Documents. Electronic and hard copy of records or forms designed and used

solely for data input and control when the data processing unit provides centralized data input services and original records are retained by the program.

Destroy after all data has been entered

into the system and, if required, verified.

Records Not Covered:

Input records retained for fiscal audit or legal purposes, or, containing information

needed by a program, should be scheduled by the responsible program. Input

records which serve a fiscal audit purpose may be covered by items in General

Records Schedule 7—Expenditure Accounting Records.

4 b ........... Work/Intermediate Files. Records used to facilitate the processing of a specific job/

run or to create, update, modify, transfer, manipulate, or sort data within an automated system when all transactions are captured in a master file, central file, valid

transaction file, or database, and the file is not retained to provide an audit trail.

Destroy after the transaction is completed.

Records Not Covered:

Intermediate files retained to document valid transactions, to serve as an audit trail,

or needed for system recovery backup.

4 11 c ........ Valid Transaction Files. Records used to update and/or document a transaction in

database or master file including valid transaction files, Data Base Management

System (DBMS) log, update files, and similar records, and not retained to document a program action or for fiscal audit purposes.

Destroy after 3 database/master file

backup cycles.

Records Not Covered:

Records used to document a program’s actions (e.g., receipt of a voucher, issuance

of a check), as opposed to a strictly data processing transaction, or needed for fiscal audit or legal purposes, should be separately scheduled by the responsible

program.

4 12 d ........ Print Files (Not Used to Document a Transaction). Source output data extracted from

the system to produce hard copy publications, printouts of tabulations, ledgers,

registers, reports, or other documents.

Destroy after all print runs are completed,

output verified (if required), and agency

has no need to reproduce the report.

4 e ........... Database Audit Trails. Data generated during the creation of a master file or database used to validate a master file or database during a processing cycle.Destroy after 3 database/master file

backup cycles.

4 f ............ Summary Data Files. Summary or aggregate data from a master file or database

and created solely to distribute data to individuals or programs for reference and

use, but not altered or augmented to support program-specific needs.

Destroy after data is distributed.

Records Not Covered:

Summary files altered or augmented to support program-specific needs should be

separately scheduled by the responsible program.

4 g ........... Extracted Data Files. Electronic files consisting solely of records extracted from a

single master file or data base.

Delete when the agency determines they

are no longer needed for administrative,

legal, audit, or other operational purposes.

Records Not Covered:

Extract files (1) produced as disclosure free files to allow public access to data; or

(2) produced by an extraction process which changes the informational content of

the source master file or data base; or, (3) records consisting of extracted information created from a master file or data base that is unscheduled; or (4) extracted

from a permanent master file that cannot be accessed or no longer exists. These

extract records should be separately scheduled by the responsible program.

4 h ........... Finding Aids (Indexes) or Tracking Systems. Electronic indexes, lists, registers, and

other finding aids used only to provide access to the temporary hard copy and

electronic records in the custody of the data processing unit.

Destroy after the related hard copy or

electronic records have been destroyed.

Records Not Covered:

Finding aids and tracking systems of programs other than data processing units

should be scheduled by the responsible program in conjunction with the related

program records

5 ................. DATA ADMINISTRATION RECORDS

Data administration covers IT functions related to data administration support including the maintenance of data standards, corporate data models, and data definitions and dictionaries.

5 13 a ........ Data/Database Dictionary Records. Usually in an automated system, used to manage data in an agency’s information systems including information on data element

definitions, data structures or file layout, code tables, and other data attribute information or records that explain the meaning, purpose, logical relationships, ownership, use, or origin of data.

Destroy after discontinuance or modification of the related application or after

the application’s data is destroyed or

transferred to a new structure or format,

whichever is later.

5 b ........... Data/Database Dictionary Reports. Periodic printouts from a data/database dictionary

system including data element attribute reports, database schema, and related

records used for reference purposes.

Destroy when superseded or when data/

database dictionary system is changed

or eliminated.

Records Not Covered:

The official copy of essential data documentation is covered by either item 2c or item

5a.

6 ................. USER/OFFICE AUTOMATION SUPPORT RECORDS
Federal Register / Vol. 63, No. 139 /Tuesday, July 21, 1998 / Notices 39201

Item No. Description of Records Authorized Disposition

User/Office Automation Support refers to IT functions that provide work station support to users of a mainframe or office automation system, including assisting users

to solve software and hardware problems, installing hardware or software, providing training, and the review and recommendation of software for agency use.

6 14 a ........ Site/Equipment Support Files. Records documenting support services provided to

specific data processing equipment or installations.

(1) Site visit reports, problem and equipment service reports, and routine correspondence and memoranda.Destroy when 3 years old.

(2) Service histories and other summary records .......................................................... Destroy after the related equipment is no

longer in use.

6 15 b ........ Help Desk Telephone Logs and Reports. Records used to document requests for

technical assistance and responses to these requests as well as to collect information on the use of computer equipment for program delivery, security, or other purposes.

Destroy when 1 year old.

6 c ............ Training Course Information. Memoranda, flyers, catalogues, registration forms, rosters, and other records relating to training courses run by a data processing user

support or office automation support unit.

Destroy when 5 years old or 5 years after

completion of a specific training program.

6 d ........... Software Review and Recommendation Files. Records related to the review and recommendations for software for agency use including vendor information, manuals,

software reviews, and related material.

Destroy after software is no longer used

by agency.

7 16 ............. NETWORK/DATA COMMUNICATION SERVICES RECORDS

Network and Data Communication Services covers IT functions related to installing

and maintaining networks, diagnosing and coordinating problems on the network,

monitoring circuit usage, and liaison with General Services Administration and

other network providers. For related records, see General Records Schedule 12,

Communications Records.

7 a ........... Network Site/Equipment Support Files. Records documenting support services provided to specific sites and computer to computer interfaces on a network including

site visit reports, trouble reports, service histories, and correspondence and memoranda.

(1) Site visit reports, trouble reports, and routine correspondence and memoranda .... Destroy when 3 years old.

(2) Service histories and other summary records .......................................................... Destroy after the related equipment or site

is no longer in use.

(3) Routine records that do not contain substantial information on the maintenance

history or site.

Destroy on an annual basis.

7 b ........... Inventories of Circuits. Automated or paper records containing information on network circuits used by the agency including circuit number, vendor, cost per month,

type of connection, terminal series, software, contact person, and other relevant information about the circuit.

Destroy after the circuit is no longer used

by agency.

7 17 c ........ Network or Circuit Installation and Service Files. Copies of requests for data communication service, installation, or repair and related records including work orders,

correspondence, memoranda, work schedules, copies of building or circuitry diagrams, and copies of fiscal documents.

Destroy 1 year after request is filled or repairs are made. Records that are related to a legal action are removed from

the file and filed elsewhere.

7 d ........... Network Usage Files. Electronic files or automated logs created to monitor network

usage including but not limited to log-in files and system usage files.

Destroy after 3 system backup cycles

after creation.

7 e ........... Network Usage Reports. Summary reports and other records created to document

computer usage for reporting or other purposes.

Destroy 1 fiscal year after creation.

7 f ............ Network Implementation Project Files. Agencies’ records used to plan and implement

a network including reports, justifications, working diagrams of proposed network,

wiring schematics, and diagrams.

Destroy after superseded.

8 ................. INTERNET SERVICES RECORDS

Internet Services covers records related to providing and monitoring services delivered and received via the Internet.

8 a ........... Agency Internet Services Logs. Electronic files or automated logs created to monitor

access and use of agency services provided via the Internet, including, but not limited to, services provided via an agency gopher site, FTP (file transfer protocol), or

World Wide Web agency intranets/extranets, or via agency Telnet services.

Destroy after 3 backup cycles, and after

relevant audit and documentation requirements have been met, whichever

is later.

8 b ........... Employee Internet Use Logs. Electronic files or automated logs created to monitor

and control use of the Internet WWW, intranets, and extranets by agency employees and non-employee use logs of agency extranets.

Destroy after 3 backup cycles, and after

review and verification, whichever is

later.

1 Disposition authorities are stated in this draft as ‘‘destroy when l years old’’ or ‘‘destroy l years after [event]. The file should be closed or

‘‘cut off’’ at the end of a fiscal year for the former types of records and destroyed l years later. The file should be closed or cut off after the

event for the latter types of records and destroyed l years after the end of the fiscal year in which the file was cut off. 2 ISSUE: The records in item 1d are often more than ledger entries. For example, item d can include charts correlating data processing unit

operational costs to: (1) the customer’s actual or estimated hours of use, (2) the customer’s number of full time employees, or (3) the customer’s

percentage of organization size. The Work Group seeks comments on how agencies use these records to assist NARA in determining whether

item 1d should (A) be eliminated, (B) refer the reader to GRS 7, item 2, or (C) changed the retention to ‘‘Destroy 6 years and 3 months after the

close of the fiscal year involved.’’? 3 ISSUE: Should this item be deleted because the records already are covered by GRS 6, Item 1a?

4 ISSUE: There are concerns about (1) splitting the developmental and technical documentation, and (2) differentiating between systems and

applications for administrative functions. One of the challenges in information technology is the documentation of systems and applications to

permit the engineers and programmers to make further use of accumulated knowledge. Is there a way to encourage the retention of information

that will preclude ‘‘reinventing the wheel’’ with applications and systems engineering?
39202 Federal Register / Vol. 63, No. 139 /Tuesday, July 21, 1998 / Notices

5Programming changes can appear to work initially, but prove to have problems over a longer period of time. The Work Group specifically invites comments on whether 3 system cycles is sufficient for all administrative systems. Retention of basic programming information can be crucial with problems like the Year 2000 conversions. In contrast to item 3e which contains ‘‘copies of master files or databases, application software, logs, directories, and other records needed to restore a system in case of a disaster or inadvertent destruction,’’ 2d deals with the very

basic operating system program. (2d is the frame and foundation of the house; 3e is the brick, aluminum siding, and drywall.) 6This is not the official contract file maintained by the agency procurement office and covered by GRS 3, item 3. Documentation pertaining to

system requirements in the RFP, the language used by the vendor in proposals and quotes, and the benchmark/acceptance testing information

can substantially impact assessment of vendor performance. Further, this can impact the specifications of future IT acquisitions. 7 ISSUE: Should this item be deleted because GRS 3, Item 3, already covers all? Another alternative that has been proposed is to leave the

description here, but provide a cross reference to GRS 3, Item 3c. 8Please see Schedule 18, Item 27.

9 Items 3 f, g, and h could be collapsed into one item. Comments on the advisability of doing so are invited. For this draft, item 3f is separate

because it focuses upon an individual user (for example, a procurement officer leaves the organization). Item 3g is a general log used to spot

substantial differences in volume of traffic. Use of item 3g may trigger an audit of item 3f records (for example, a 40% increase in one unit’s use

may raise questions about why the increase; next step, a look at item 3f). Item 3h is a summary report, used for billing purposes. 10 ISSUE: Can this retention period be easily applied? Is it appropriate for all administrative systems, including security-classified ones? 11Validity checks are routines in a data entry program that test the input for correct and reasonable conditions, such as numbers falling within

a range and correct spelling, if possible. Valid transaction files are the reports of those validity checks. 12 ISSUE: Disposition of item 4d is impossible to implement in the case of print files that are automatically generated and deleted by applications software. This may be a policy issue as to whether those files should be automatically deleted by the applications software. 13The disposition for Item 5a is for the operating system records; Item 2c covers the records for planning the system. 14 In contrast to Item 2, which deals with systems application and development, Item 6 addresses end user support records. 15These logs can be invaluable in resolving customer complaints, providing appropriate follow-up service, and spotting problem trends in systems and networks. 16GRS 12, Communications Records, is under review and will have to be modified at a later date to address redundancies. 17 Network installation records are included because the history of wiring in buildings, locations of switches, etc., has been a problem. Recent

building renovations have revealed that agencies have unused phone lines, which are still live and costing money. Employees had moved to new

offices, received new phone numbers, and never had the old phone lines disconnected.

[FR Doc. 98–19468 Filed 7–20–98; 8:45 am]

BILLING CODE 7515–01–P

NATIONAL ARCHIVES AND RECORDS

ADMINISTRATION

Electronic Records Work Group Draft

Report; Comments Requested

AGENCY: National Archives and Records

Administration (NARA).

ACTION: Request for comment.

SUMMARY: This notice contains a

working draft of the Electronic Records

Work Group’s proposed report to the

Archivist outlining the Work Group’s

recommendations and the effort that

went into developing the

recommendations and implementation

strategy. This draft has been modified

slightly from the June draft that was

posted on the Web and sent to agencies

for review. This draft reflects the Work

Group’s decisions to use the term

‘‘electronic source record’’ to describe

the records created using office

automation applications and to place

the discussion of program and

administrative records, formerly in draft

Appendix B, in the introductions to

draft Appendixes C and D where they

are most pertinent. For purposes of this

review, we have not changed the

Appendix designations that were used

in the June draft and have, therefore,

reserved Appendix B for a discussion in

the final report of the public and

Federal comments received on the draft

products.

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.

FOR FURTHER INFORMATION CONTACT:

Michael Miller at 301–713–7110, ext.

229.

SUPPLEMENTARY INFORMATION: The draft

report appears at the end of this notice.

Dated: July 16, 1998.

Lewis J. Bellardo,

Deputy Archivist of the United States.

Draft Electronic Records Work Group

Report to the Archivist of the United

States

Table of Contents

Executive Summary

Introduction

Work Group Approach

Recommendations of the Electronic Records

Work Group

Rejected Options

Future Steps

Appendix A—Electronic Records Work

Group membership

Appendix B—[Reserved]

Appendix C—Proposal for developing agency

records schedules that include office

automation records

Appendix D—Proposal to revise the entire

GRS to cover all formats of the

administrative records included therein

Appendix E—Proposed General Records

Schedule, Information Technology

Records

Executive Summary

The Electronic Records Work Group

(Work Group) is an interagency group

formed by the Archivist of the United

States on November 21, 1997, to review

the 1995 version of General Records

Schedule (GRS) 20, which was declared

null and void by the U.S. District Court

for the District of Columbia. (That ruling

is on appeal.) Specifically, the Work

Group was asked to identify appropriate

areas for revision, explore alternatives

for authorizing disposition of electronic

records, identify methods and

techniques that are available with

current technology to manage and

provide access to electronic records, and

recommend practical solutions for the

scheduling and disposition of electronic

records. The Archivist also gave the

Work Group several guiding principles

and policies, including: program records

should not be scheduled in the GRS,

electronic records should be scheduled

as series, and solutions must be

workable.

The Work Group membership was

drawn from staff of the National

Archives and Records Administration

(NARA) and other Federal agencies with

records management and/or electronic

records expertise under the oversight of

Deputy Archivist Lewis Bellardo.

Michael Miller, the Director of NARA’s

Modern Records Programs, serves as the

group leader. In addition, electronic

records management experts from state

archives and records programs, the

National Archives of Canada, academia,

and records management consulting

firms serve as consultants to the Work

Group on a pro bono basis.

In conducting its review and

developing the recommendations

contained in this report, the Work

Group aggressively sought input from

Federal agencies, other interested