General Records Schedule
20
NOTE: The GRS
20 Page has information about the Electronic Records Work Group, and the Records Management
Page has additional information about Federal electronic records management
initiatives.
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
re certification 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.
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