Transmittal No. 7                      General Records Schedule 20 
August 1995

                          Electronic Records 

     This schedule provides disposal authorization for certain
electronic records and specified hard-copy (paper) or microform records
that are integrally related to the electronic records.  This schedule
applies to disposable electronic records created or received by Federal
agencies including those managed for agencies by contractors.  It covers
records created by computer operators, programmers, analysts, systems
administrators, and all personnel with access to a computer.
Disposition authority is provided for certain master files, including
some tables that are components of data base management systems, and
certain files created from master files for specific purposes.  In
addition, this schedule covers certain disposable electronic records
produced by end users in office automation applications.  These
disposition authorities apply to the categories of electronic records
described in GRS 20, regardless of the type of computer used to create
or store these records.  GRS 20 does not cover all electronic records.
Electronic records not covered by GRS 20 may not be destroyed unless
authorized by a Standard Form 115 that has been approved by the National
Archives and Records Administration (NARA).  The records covered by
several items in this schedule are authorized for erasure or deletion
when the agency determines that they are no longer needed for
administrative, legal, audit, or other operational purposes.  NARA
cannot establish a more specific retention that would be appropriate in
all applications.  Each agency should, when appropriate, determine a
more specific disposition instruction, such as "Delete after X update
cycles" or "Delete when X years old," for inclusion in its records
disposition directives or manual.  NARA approval is not needed to set
retention periods for records in the GRS that are authorized for
destruction when no longer needed.  Items 2a and 1a (in part) of this
schedule apply to hard-copy or microform records used in conjunction
with electronic files.  Item 1 also covers printouts produced to test,
use, and maintain master files.  Items 10 and 11 of this schedule should
be applied to special purpose programs and documentation for disposable
electronic records whatever the medium in which such documentation and
programs exist.  This schedule has been revised to include
electronically-generated records previously covered in General Records
Schedule 23, Records Common to Most Offices.  The original numbering of
the items in GRS 20 has been preserved.  The items moved from GRS 23
have been added at the end, except the item covering administrative data
bases that has been incorporated into item 3.

     Electronic versions of records authorized for disposal elsewhere in
the GRS may be deleted under the provisions of item 3 of GRS 20.  See
also 36 CFR Part 1234 for NARA regulations on electronic records
management.

1.    Files/Records Relating to the Creation, Use, and Maintenance of
      Computer Systems, Applications, or Electronic Records.

     a.    Electronic files or records created solely to test system
           performance, as well as hard-copy printouts and related
           documentation for the electronic files/records.
           Delete/destroy when the agency determines that they are no
           longer needed for administrative, legal, audit, or other
           operational purposes.

     b.    Electronic files or records used to create or update a master
           file, including, but not limited to, work files, valid
           transaction files, and intermediate input/output records.
           Delete after information has been transferred to the master
           file and verified.

     c.    Electronic files and hard-copy printouts created to monitor
           system usage, including, but not limited to, log-in files,
           password files, audit trail files, system usage files, and
           cost-back files used to assess charges for system use.

      Delete/destroy when the agency determines they are no longer
      needed for administrative, legal, audit, or other operational
      purposes.

2.    Input/Source Records. 

     a.    Non-electronic documents or forms designed and used solely to
           create, update, or modify the records in an electronic medium
           and not required for audit or legal purposes (such as need
           for signatures) and not previously scheduled for permanent
           retention in a NARA-approved agency records schedule.

           Destroy after the information has been converted to an
           electronic medium and verified, or when no longer needed to
           support the reconstruction of, or serve as the backup to, the
           master file, whichever is later.

     b.    Electronic records, except as noted in item 2c, entered into
           the system during an update process, and not required for
           audit and legal purposes.

           Delete when data have been entered into the master file or
           database and verified, or when no longer required to support
           reconstruction of, or serve as back-up to, a master file or
           database, whichever is later.

     c.    Electronic records received from another agency and used as
           input/ source records by the receiving agency, EXCLUDING
           records produced by another agency under the terms of an
           interagency agreement, or records created by another agency
           in response to the specific information needs of the
           receiving agency.

           Delete when data have been entered into the master file or
           database and verified, or when no longer needed to support
           reconstruction of, or serve as back up to, the master file or
           database, whichever is later.

     d.    Computer files or records containing uncalibrated and
           unvalidated digital or analog data collected during
           observation or measurement activities or research and
           development programs and used as input for a digital master
           file or database.

           Delete after the necessary data have been incorporated into a
           master file.

3.    Electronic Versions of Records Scheduled for Disposal.  a.
      Electronic versions of records that are scheduled for disposal
      under one or more items in GRS 1-16, 18, 22, or 23; EXCLUDING
      those that replace or duplicate the following GRS items: GRS 1,
      items 21, 22, 25f; GRS 12, item 3; and GRS 18, item 5.  Delete
      after the expiration of the retention period authorized by the GRS
      or when no longer needed, whichever is later.

     b. Electronic records that support administrative housekeeping
        functions when the records are derived from or replace hard copy
        records authorized by NARA for destruction in an agency-specific
        records schedule.

          (1) When hard copy records are retained to meet recordkeeping
              requirements. 

                Delete electronic version when the agency determines
                that it is no longer needed for administrative, legal,
                audit, or other operational purposes.

          (2) When the electronic record replaces hard copy records that
              support administrative housekeeping functions. 

                Delete after the expiration of the retention period
                authorized for the hard copy file, or when no longer
                needed, whichever is later.

          (3) Hard copy printouts created for short-term administrative
              purposes.

                Destroy when the agency determines that they are no
                longer needed for administrative, legal, audit, or other
                operational purposes.

4.    Data Files Consisting of Summarized Information. 

      Records that contain summarized or aggregated information created
      by combining data elements or individual observations from a
      single master file or data base that is disposable under a GRS
      item or is authorized for deletion by a disposition job approved
      by NARA after January 1, 1988, EXCLUDING data files that are
      created as disclosure-free files to allow public access to the
      data which may not be destroyed before securing NARA approval.

      Delete when the agency determines that they are no longer needed
      for administrative, legal, audit, or other operational purposes.

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

5.    Records Consisting of Extracted Information. 

      Electronic files consisting solely of records extracted from a
      single master file or data base that is disposable under GRS 20 or
      approved for deletion by a NARA-approved disposition schedule,
      EXCLUDING extracts that are:

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

     b)    produced by an extraction process which changes the
           informational content of the source master file or data base;
           which may not be destroyed before securing NARA approval.
           For print and technical reformat files see items 6 and 7 of
           this schedule respectively.  

      Delete when the agency determines that they are no longer needed
      for administrative, legal, audit, or other operational purposes.

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

6.    Print File. 

      Electronic file extracted from a master file or data base without
      changing it and used solely to produce hard-copy publications
      and/or printouts of tabulations, ledgers, registers, and
      statistical reports.

      Delete when the agency determines that they are no longer needed
      for administrative, legal, audit, or other operational purposes.

7.    Technical Reformat File. 

      Electronic file consisting of data copied from a complete or
      partial master file or data base made for the specific purpose of
      information interchange and written with varying technical
      specifications, EXCLUDING files created for transfer to the
      National Archives.

      Delete when the agency determines that they are no longer needed
      for administrative, legal, audit, or other operational purposes.

8.    Backups of Files. 

      Electronic copy, considered by the agency to be a Federal record,
      of the master copy of an electronic record or file and retained in
      case the master file or database is damaged or inadvertently
      erased.

     a.    File identical to records scheduled for transfer to the
           National Archives.

           Delete when the identical records have been captured in a
           subsequent backup file or when the identical records have
           been transferred to the National Archives and successfully
           copied.

     b.    File identical to records authorized for disposal in a
           NARA-approved records schedule.

           Delete when the identical records have been deleted, or when
           replaced by a subsequent backup file.  

9.    Finding Aids (or Indexes). 

      Electronic indexes, lists, registers, and other finding aids used
      only to provide access to records authorized for destruction by
      the GRS or a NARA-approved SF 115, EXCLUDING records containing
      abstracts or other information that can be used as an information
      source apart from the related records.

      Delete with related records or when the agency determines that
      they are no longer needed for administrative, legal, audit, or
      other operational purposes, whichever is later.

10.   Special Purpose Programs. 

      Application software necessary solely to use or maintain a master
      file or database authorized for disposal in a GRS item or a
      NARA-approved records schedule, EXCLUDING special purpose software
      necessary to use or maintain any unscheduled master file or
      database or any master file or database scheduled for transfer to
      the National Archives.

      Delete when related master file or database has been deleted. 

11.   Documentation. 

     a.    Data systems specifications, file specifications, codebooks,
           record layouts, user guides, output specifications, and final
           reports (regardless of medium) relating to a master file or
           data base that has been authorized for destruction by the GRS
           or a NARA-approved disposition schedule. 

           Destroy or delete when superseded or obsolete, or upon
           authorized deletion of the related master file or data base,
           or upon the destruction of the output of the system if the
           output is needed to protect legal rights, whichever is
           latest. 

     b.    Copies of records relating to system security, including
           records documenting periodic audits or review and
           recertification of sensitive applications, disaster and
           continuity plans, and risk analysis, as described in OMB
           Circular No.  A-130.  

           Destroy or delete when superseded or obsolete. 

[NOTES: (1) Documentation that relates to permanent or unscheduled
master files and data bases is not authorized for destruction by the
GRS.  (2) See item 1a of this schedule for documentation relating to
system testing.]

12.   Downloaded and Copied Data. 

      Derived data and data files that are copied, extracted, merged,
      and/or calculated from other data generated within the agency,
      when the original data is retained. 

     a.    Derived data used for ad hoc or one-time inspection, analysis
           or review, if the derived data is not needed to support the
           results of the inspection, analysis or review.

           Delete when the agency determines that they are no longer
           needed for administrative, legal, audit, or other operational
           purposes. 

     b.    Derived data that provide user access in lieu of hard copy
           reports that are authorized for disposal.

           Delete when the agency determines that they are no longer
           needed for administrative, legal, audit, or other operational
           purposes.

     c.    Metadata or reference data, such as format, range, or domain
           specifications, which is transferred from a host computer or
           server to another computer for input, updating, or
           transaction processing operations.

           Delete from the receiving system or device when no longer
           needed for processing. 

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

13.   Word Processing Files. 

      Documents such as letters, memoranda, reports, handbooks,
      directives, and manuals recorded on electronic media such as hard
      disks or floppy diskettes after they have been copied to an
      electronic recordkeeping system, paper, or microform for
      recordkeeping purposes.

      Delete from the word processing system when no longer needed for
      updating or revision.

14.   Electronic Mail Records. 

      Senders' and recipients' versions of electronic mail messages that
      meet the definition of Federal records, and any attachments to the
      record messages after they have been copied to an electronic
      recordkeeping system, paper, or microform for recordkeeping
      purposes.

      Delete from the e-mail system after copying to a recordkeeping
      system. 

[NOTE: Along with the message text, the recordkeeping system must
capture the names of sender and recipients and date (transmission data
for recordkeeping purposes) and any receipt data when required.]

15.   Electronic Spreadsheets. 

      Electronic spreadsheets generated to support administrative
      functions or generated by an individual as background materials or
      feeder reports. 

     a.    When used to produce hard copy that is maintained in
           organized files.

           Delete when no longer needed to update or produce hard copy. 

     b.    When maintained only in electronic form. 

           Delete after the expiration of the retention period
           authorized for the hard copy by the GRS or a NARA-approved SF
           115.  If the electronic version replaces hard copy records
           with differing retention periods and agency software does not
           readily permit selective deletion, delete after the longest
           retention period has expired. 

National Archives and Records Administration
URL: http://ardor.nara.gov/grs/
ardor@nara.gov
Last updated: January 4, 1999