82 FR 33518 - Records Management; General Records Schedule (GRS); GRS Transmittal 28

NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

Federal Register Volume 82, Issue 138 (July 20, 2017)

Page Range		33518-33520
FR Document		2017-15250

NARA is issuing a new set of General Records Schedules (GRS) via GRS Transmittal 28. The GRS provides mandatory disposition instructions for administrative records common to several or all Federal agencies. Transmittal 28 announces changes we have made to the GRS since we published Transmittal 27 in January. We are concurrently disseminating Transmittal 28 (the memo and the accompanying records schedules and documents) directly to each agency's records management official and have also posted it on NARA's Web site.

Federal Register, Volume 82 Issue 138 (Thursday, July 20, 2017)

[Federal Register Volume 82, Number 138 (Thursday, July 20, 2017)]
[Notices]
[Pages 33518-33520]
From the Federal Register Online [www.thefederalregister.org]
[FR Doc No: 2017-15250]

=======================================================================
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

[NARA-2017-055]

Records Management; General Records Schedule (GRS); GRS
Transmittal 28

AGENCY: National Archives and Records Administration (NARA).

ACTION: Notice of new General Records Schedule (GRS) Transmittal 28.

-----------------------------------------------------------------------

SUMMARY: NARA is issuing a new set of General Records Schedules (GRS)
via GRS Transmittal 28. The GRS provides mandatory disposition
instructions for administrative records common to several or all
Federal agencies. Transmittal 28 announces changes we have made to the
GRS since we published Transmittal 27 in January. We are concurrently
disseminating Transmittal 28 (the memo and the accompanying records
schedules and documents) directly to each agency's records management
official and have also posted it on NARA's Web site.

DATES: This transmittal is effective the date it publishes in the
Federal Register.

ADDRESSES: You can find this transmittal on NARA's Web site at http://www.archives.gov/records-mgmt/grs/. You can download the complete
current GRS, in PDF format, from NARA's Web site at http://www.archives.gov/records-mgmt/grs.html.

FOR FURTHER INFORMATION CONTACT: For more information about this notice
or to obtain paper copies of the GRS, contact Kimberly Keravuori,
External Policy Program Manager, by email at
regulation_comments@nara.gov or by telephone at 301.837.3151.
Writing and maintaining the GRS is the GRS Team's responsibility.
This team is part of Records Management Services in the National
Records Management Program, Office of the Chief Records Officer at
NARA. You may contact NARA's GRS Team with general questions about the
GRS at GRS_Team@nara.gov.
Your agency's records officer may contact the NARA appraiser or
records analyst with whom your agency normally works for support in
carrying out this transmittal and the revised portions of the GRS. You
may access a list of the appraisal and scheduling work group and
regional contacts on our Web site at http://www.archives.gov/records-mgmt/appraisal/index.html.

SUPPLEMENTARY INFORMATION: GRS Transmittal 28 announces changes to the
General Records Schedules (GRS) made since NARA published GRS
Transmittal 27 in January 2017. The GRS provide mandatory disposition
instructions for records common to several or all Federal agencies. We
are nearing the end of our five-year plan to completely rewrite the
GRS. With Transmittal 28, 92% of old items are now superseded.
Transmittal 28 includes only schedules newly issued or updated
since the last transmittal, those schedules' associated new-to-old
crosswalks and FAQs, an update to the FAQs for GRS 6.1 (but not
schedule 6.1 itself, which remains unchanged), and an update to the
FAQs about Flexible Dispositions. This means that many current GRS
schedules are not included in this Transmittal.
This means that many current GRS schedules are not included in this
Transmittal. You can find all schedules (in Word, PDF, and CSV
formats), crosswalks and FAQs for all schedules, and FAQs about the
whole GRS at http://www.archives.gov/records-mgmt/grs.html. At the same
location, you can also find the entire GRS (just schedules--no
crosswalks or FAQs) in a single document (https: //www.archives.gov/files/records-mgmt/grs/trs28-sch-only.pdf).

[[Page 33519]]

What changes does this transmittal make to the GRS?

GRS Transmittal 28 publishes nine new schedules:

------------------------------------------------------------------------

------------------------------------------------------------------------
GRS 2.1 Employee Acquisition DAA-GRS-2014-0002
Records.
GRS 2.2 Employee Management Records DAA-GRS-2017-0007
GRS 2.3 Employee Relations Records. DAA-GRS-2015-0007
GRS 2.4 Employee Compensation and DAA-GRS-2016-0015
Benefits Records.
GRS 5.1 Common Office Records...... DAA-GRS-2016-0016
GRS 5.2 Transitory and Intermediary DAA-GRS-2017-0003
Records.
GRS 5.6 Security Records........... DAA-GRS-2017-0006
GRS 5.8 Administrative Help Desk DAA-GRS-2017-0001
Records.
GRS 6.5 Public Customer Service DAA-GRS-2017-0002
Records.
------------------------------------------------------------------------

It also publishes a new item in one schedule: GRS 1.1, Financial
Management and Reporting Records (see question 3). In addition, it
supersedes in its entirety GRS 4.3, Input Records, Output Records, and
Electronic Copies (see question 4).
This transmittal also includes an updated table of contents that
shows some alterations to the previously published schedule titles.
Research led us to conclude that it is not possible at this time to
write a GRS for legal records, so the number assigned to that
anticipated schedule--GRS 6.3--has been assigned instead to Information
Technology Records. A new schedule for rulemaking records is GRS 6.6.
Both 6.3 and 6.6 should be published in Transmittal 29.
This transmittal publishes a revised Frequently Asked Questions
(FAQs) for GRS 6.1. The revisions include adding new GRS citations
where appropriate; removing unnecessary references to some CFR
citations in Q3; clarifying Q4 text; clarifying culling in Q22; and
clarifying how to report calendars, appointments, tasks, chat
transcripts, and other communications on NA-1005 in Q27. Finally, this
transmittal publishes updated FAQs on Flexible Dispositions, adding a
new Q6 about batching records for disposal.

How has GRS 1.1 changed? How might these changes affect my agency?

We added one new item (080) to cover administrative claims made by
or against the Federal Government. We also added three new questions to
the GRS 1.1 FAQs concerning travel receipts scanned into e-systems
(question 9), audit records (question 16) and use of item 080 (question
18).

Why did you delete GRS 4.3?

We deleted GRS 4.3, Input Records, Output Records, and Electronic
Copies, because we have superseded its seven items with two new items
in GRS 5.1 and 5.2. We superseded GRS 4.3, item 040, Non-recordkeeping
copies of electronic records, with the closely parallel and identically
titled GRS 5.1, item 020. We moved it to 5.1 to place it in context
with other common office records. The new item is media-neutral. We
superseded GRS 4.3, items 010, 011, 020, 030, 031, and 040 with GRS
5.2, item 020, Intermediary records. We found we could gather records
of various formats from various sources into a single unit by
recognizing this unifying trait: They are stopping points en route to a
final record scheduled elsewhere.

What GRS items does GRS Transmittal 28 rescind?

Many old GRS items are superseded by new GRS items. A few old
items, however, have outlived their usefulness and cannot be
crosswalked to new items. The table below lists old items newly
rescinded by GRS Transmittal 28.

------------------------------------------------------------------------
GRS Item Title Reason
------------------------------------------------------------------------
1........... 1a.......... Official Personnel Was simply a filing/
Folders: handling instruction
Transferred and never had an
employees. associated disposition
authority.
1........... 2a.......... Service Record The Service Record Card
2b.......... Cards. (SF 7) became obsolete
in 1994.
1........... 6........... Employee Record The Employee Record
Cards. Card (SF 7b) became
obsolete in 1993.
1........... 7a1......... Position Non-record technical
Classification reference in all
Standards Files. agencies but OPM,
where they are mission
records.
1........... 7a2b........ Position No longer exist in the
Classification electronic world. If
Standards Review on paper, they are non-
Files. record duplicates.
1........... 7c1......... Classification OPM believes these
1........... 7c2......... survey reports. records no longer
Inspection, audit, exist.
and survey files.
1........... 11.......... Position These records no longer
Identification exist.
Strips.
1........... 13.......... Incentive Awards Agencies are no longer
Program Reports. required to complete
OPM Form 1465.
Instead, OPM extracts
data from the
Enterprise Human
Resources Integration-
Statistical Data Mart
to report Government-
wide data on cash and
time-off awards.
1........... 25b......... Copies of EEO These are non-record
Complaint Case duplicates.
Files.
1........... 25e......... Employee Housing Item does not appear to
Requests. be in use.
1........... 33d......... Test Material Stock Blank unused forms are
Control. not records.
1........... 33h......... Letters to OPM Form 4896 is
Applicants Denying obsolete and the
Transfer of entire work process no
Eligibility. longer exists.
1........... 35b1........ Health benefits Replaced by GRS 2.4,
denied, appealed item 110. Like the old
to OPM for item, the new item
reconsideration: instructs about
Appeal successful-- filing, not
benefits granted. disposition. As a
result, it cannot be
entered into ERA so
cannot supersede the
old. The old item must
therefore be
rescinded.
2........... 1a.......... Pay record for each Item was not a
employee as disposition
maintained in an instruction but rather
electronic data an instruction to make
base. sure the current
record is full and
correct.
2........... 2........... Noncurrent Payroll Item authorized
Files. periodic disposal of
system data after long-
term records were
downloaded and
safeguarded. Such data
is now covered under
5.1, item 020.

[[Page 33520]]

2........... 14a......... Savings Bond Paper savings bond
14b......... Purchase Files. purchase via payroll
14c......... deduction was
discontinued in 2010.
Payroll deductions
under the current
TreasuryDirect e-
system are covered in
GRS 2.4, item 010.
2........... 23b......... Payroll Change Electronic payroll
Files: all other processing means these
files. records no longer
exist.
26.......... 1b.......... Internal agency Item is not a
committees related disposition
to an agency's instruction. It tells
mission. agencies to submit a
schedule for records.
Now handled via a note
in GRS 5.1, item 030.
------------------------------------------------------------------------

Rescinded items are shown in context of their schedules in the old-
to-new crosswalk.

How do I cite new GRS items?

When you send records to an FRC for storage, you should cite the
records' legal authority--the ``DAA'' number--in the ``Disposition
Authority'' column of the table. For informational purposes, please
include schedule and item number. For example, ``DAA-GRS-2013-0001-0004
(GRS 4.3, item 020).''

Do I have to take any action to implement these GRS changes?

NARA regulations (36 CFR 1226.12(a)) require agencies to
disseminate GRS changes within six months of receipt.
Per 36 CFR 1227.12(a)(1), you must follow GRS dispositions that
state they must be followed without exception.
Per 36 CFR 1227.12(a)(3), if you have an existing schedule that
differs from a new GRS item that does not require being followed
without exception, and you wish to continue using your agency-specific
authority rather than the GRS authority, you must notify NARA within
120 days of the date of this transmittal.
If you do not have an already existing agency-specific authority
but wish to apply a retention period that differs from that specified
in the GRS, you must submit a records schedule to NARA for approval via
the Electronic Records Archives.

How do I get copies of the new GRS?

You can download the complete current GRS, in PDF format, from
NARA's Web site at http://www.archives.gov/records-mgmt/grs.html.

Whom do I contact for further information?

Writing and maintaining the GRS is the responsibility of the GRS
Team. You may contact the team with general questions about the GRS at
GRS_Team@nara.gov. This team is part of Records Management Services in
the National Records Management Program of the Office of the Chief
Records Officer at NARA.
Your agency's records officer may contact the NARA appraiser or
records analyst with whom your agency normally works for support in
carrying out this transmittal. A list of the appraisal and scheduling
work group and regional contacts is on the NARA Web site at http://www.archives.gov/records-mgmt/appraisal/index.html.

David S. Ferriero,
Archivist of the United States.
[FR Doc. 2017-15250 Filed 7-19-17; 8:45 am]
BILLING CODE 7515-01-P

33518 Federal Register / Vol. 82, No. 138 / Thursday, July 20, 2017 / Notices

Response, Compensation and Liability To submit http://www.archives.gov/records-mgmt/
Send them to:
Act (‘‘CERCLA’’), 42 U.S.C. 9601–9675, comments: grs/. You can download the complete
and similar state laws, for costs incurred current GRS, in PDF format, from
and to be incurred by the Governments By mail ........... Assistant Attorney General, NARA’s Web site at http://
in connection with certain sites, and for U.S. DOJ—ENRD, P.O. www.archives.gov/records-mgmt/
Box 7611, Washington,
natural resource damages and costs of DC 20044–7611.
grs.html.
assessment at or in connection with FOR FURTHER INFORMATION CONTACT: For
certain sites. Under Section 7003(d) of RCRA, a more information about this notice or to
The sites included in the settlement commenter may request an opportunity obtain paper copies of the GRS, contact
are: for a public meeting in the affected area. Kimberly Keravuori, External Policy
(1) The 5-acre portion of the Former During the public comment period, Program Manager, by email at
American Zinc, Lead and Smelting Company the Settlement Agreement may be regulation_comments@nara.gov or by
Site or AZLS in Montgomery County, Kansas examined and downloaded at this telephone at 301.837.3151.
also referred to as the ‘‘Caney Parcel’’ or the Writing and maintaining the GRS is
Justice Department Web site: http://
‘‘Caney Repository’’ that was previously
owned by Gold Fields Mining, LLC. www.justice.gov/enrd/consent-decrees. the GRS Team’s responsibility. This
(2) The Anderson-Calhoun Mine and Mill We will provide a paper copy of the team is part of Records Management
Superfund Site in Stevens County, Settlement Agreement upon written Services in the National Records
Washington. request and payment of reproduction Management Program, Office of the
(3) The ASARCO Taylor Springs costs. Please mail your request and Chief Records Officer at NARA. You
Superfund Site in Montgomery County, payment to: Consent Decree Library, may contact NARA’s GRS Team with
Illinois. U.S. DOJ—ENRD, P.O. Box 7611, general questions about the GRS at
(4) The Bautsch Gray Mine Superfund Site GRS_Team@nara.gov.
Washington, DC 20044–7611.
in Jo Daviess County, Illinois.
Please enclose a check or money order Your agency’s records officer may
(5) The Caney Residential Yards Site in
Montgomery County, Kansas. for $ 7.75 (25 cents per page contact the NARA appraiser or records
(6) The Carpenter-Snow Creek Mining reproduction cost) payable to the United analyst with whom your agency
District Superfund Site in Cascade County, States Treasury. normally works for support in carrying
Montana. out this transmittal and the revised
(7) The Cherokee County Superfund Site in Susan M. Akers,
portions of the GRS. You may access a
Cherokee County, Kansas. Assistant Section Chief, Environmental list of the appraisal and scheduling
(8) The East La Harpe Smelter Site in Allen Enforcement Section, Environment and
work group and regional contacts on our
County, Kansas. Natural Resources Division.
Web site at http://www.archives.gov/
(9) The Grandview Mine and Mill [FR Doc. 2017–15199 Filed 7–19–17; 8:45 am]
Superfund Site in Pend Oreille County,
records-mgmt/appraisal/index.html.
BILLING CODE 4410–15–P
Washington. SUPPLEMENTARY INFORMATION: GRS
(10) The Jasper County Superfund Site in Transmittal 28 announces changes to
Jasper County, Missouri, also known as the the General Records Schedules (GRS)
Oronogo/Duenweg Mining Belt Site. NATIONAL ARCHIVES AND RECORDS made since NARA published GRS
(11) The Klondyke Tailings Removal Site ADMINISTRATION Transmittal 27 in January 2017. The
in Graham County, Arizona. [NARA–2017–055] GRS provide mandatory disposition
(12) The Old American Zinc Plant
instructions for records common to
Superfund Site in St. Clair County, Illinois. Records Management; General
(13) The Tar Creek Superfund Site in several or all Federal agencies. We are
Ottawa County, Oklahoma.
Records Schedule (GRS); GRS nearing the end of our five-year plan to
Transmittal 28 completely rewrite the GRS. With
The Settlement Agreement includes Transmittal 28, 92% of old items are
payments for the above Sites as AGENCY: National Archives and Records
Administration (NARA). now superseded.
described therein and certain covenants Transmittal 28 includes only
not to sue under Sections 106 and 107 ACTION: Notice of new General Records schedules newly issued or updated
of CERCLA, 42 U.S.C. 9606 or 9607, and Schedule (GRS) Transmittal 28. since the last transmittal, those
Section 70003 of RCRA, 42 U.S.C. 6973 schedules’ associated new-to-old
with respect to the above referenced SUMMARY: NARA is issuing a new set of
General Records Schedules (GRS) via crosswalks and FAQs, an update to the
Sites. FAQs for GRS 6.1 (but not schedule 6.1
The publication of this notice opens GRS Transmittal 28. The GRS provides
mandatory disposition instructions for itself, which remains unchanged), and
a period for public comment on the an update to the FAQs about Flexible
Settlement Agreement. Comments administrative records common to
several or all Federal agencies. Dispositions. This means that many
should be addressed to the Assistant current GRS schedules are not included
Attorney General, Environment and Transmittal 28 announces changes we
have made to the GRS since we in this Transmittal.
Natural Resources Division, and should This means that many current GRS
refer to In re Peabody Energy published Transmittal 27 in January. We
are concurrently disseminating schedules are not included in this
Corporation, DOJ No. 90–11–3–11582. Transmittal. You can find all schedules
All comments must be submitted so that Transmittal 28 (the memo and the
accompanying records schedules and (in Word, PDF, and CSV formats),
they are received by no later than 30
asabaliauskas on DSKBBXCHB2PROD with NOTICES

documents) directly to each agency’s crosswalks and FAQs for all schedules,
days after the date of publication in the and FAQs about the whole GRS at
Federal Register. Comments may be records management official and have
also posted it on NARA’s Web site. http://www.archives.gov/records-mgmt/
submitted either by email or by mail: grs.html. At the same location, you can
DATES: This transmittal is effective the
also find the entire GRS (just
To submit Send them to: date it publishes in the Federal schedules—no crosswalks or FAQs) in a
comments: Register. single document (https: //
By email ......... pubcomment-ees.enrd@ ADDRESSES: You can find this www.archives.gov/files/records-mgmt/
usdoj.gov. transmittal on NARA’s Web site at grs/trs28-sch-only.pdf).

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33520 Federal Register / Vol. 82, No. 138 / Thursday, July 20, 2017 / Notices

GRS Item Title Reason

2 ........ 14a .... Savings Bond Purchase Files ................. Paper savings bond purchase via payroll deduction was discontinued in 2010.
14b .... Payroll deductions under the current TreasuryDirect e-system are covered in
14c GRS 2.4, item 010.
2 ........ 23b .... Payroll Change Files: all other files ......... Electronic payroll processing means these records no longer exist.
26 ...... 1b ...... Internal agency committees related to an Item is not a disposition instruction. It tells agencies to submit a schedule for
agency’s mission. records. Now handled via a note in GRS 5.1, item 030.

Rescinded items are shown in context analyst with whom your agency for additional information or copies of
of their schedules in the old-to-new normally works for support in carrying the proposed information collection and
crosswalk. out this transmittal. A list of the supporting statement.
appraisal and scheduling work group
How do I cite new GRS items? SUPPLEMENTARY INFORMATION: Pursuant
and regional contacts is on the NARA
When you send records to an FRC for to the Paperwork Reduction Act of 1995
Web site at http://www.archives.gov/
storage, you should cite the records’ (Public Law 104–13), NARA invites the
records-mgmt/appraisal/index.html.
legal authority—the ‘‘DAA’’ number—in public and other Federal agencies to
the ‘‘Disposition Authority’’ column of David S. Ferriero, comment on proposed information
the table. For informational purposes, Archivist of the United States. collections. The comments and
please include schedule and item [FR Doc. 2017–15250 Filed 7–19–17; 8:45 am] suggestions should address one or more
number. For example, ‘‘DAA–GRS– BILLING CODE 7515–01–P
of the following points: (a) Whether the
2013–0001–0004 (GRS 4.3, item 020).’’ proposed information collection is
necessary for NARA to properly perform
Do I have to take any action to NATIONAL ARCHIVES AND RECORDS its functions; (b) our estimate of the
implement these GRS changes? ADMINISTRATION burden of the proposed information
NARA regulations (36 CFR collection and its accuracy; (c) ways we
[NARA–2017–056] could enhance the quality, utility, and
1226.12(a)) require agencies to
disseminate GRS changes within six clarity of the information we collect; (d)
Agency Information Collection
months of receipt. ways we could minimize the burden on
Activities: Proposed Collection;
Per 36 CFR 1227.12(a)(1), you must respondents of collecting the
Comment Request
follow GRS dispositions that state they information, including through
must be followed without exception. AGENCY: National Archives and Records information technology; and (e) whether
Per 36 CFR 1227.12(a)(3), if you have Administration (NARA). this collection affects small businesses.
an existing schedule that differs from a ACTION: Notice of proposed extension We will summarize any comments you
new GRS item that does not require request. submit and include the summary in our
being followed without exception, and request for OMB approval. All
you wish to continue using your agency- SUMMARY: NARA proposes to request an comments will become a matter of
specific authority rather than the GRS extension from the Office of public record. In this notice, we solicit
authority, you must notify NARA within Management and Budget (OMB) of comments concerning the following
120 days of the date of this transmittal. approval to use a voluntary survey of information collection:
If you do not have an already existing visitors to the Public Vaults located at Title: National Archives Public Vaults
agency-specific authority but wish to the National Archives in Washington, Survey.
apply a retention period that differs DC. We use this information to
determine how the various components OMB number: 3095–0062.
from that specified in the GRS, you
must submit a records schedule to of the Public Vaults affect visitors’ level Agency form number: N/A.
NARA for approval via the Electronic of satisfaction with the Public Vaults Type of review: Regular.
Records Archives. and how effectively the venue
Affected public: Individuals who visit
communicates to them that records
How do I get copies of the new GRS? the National Archives’ Public Vaults in
matter. And we use it to make changes
Washington, DC.
You can download the complete that improve the overall visitor
current GRS, in PDF format, from experience. We invite you to comment Estimated number of respondents:
NARA’s Web site at http:// on this proposed information collection. 1,050.
www.archives.gov/records-mgmt/ DATES: We must receive written Estimated time per response: 10
grs.html. comments on or before September 18, minutes.
Whom do I contact for further 2017. Frequency of response: On occasion
information? ADDRESSES: Send comments to (when an individual visits the Public
Paperwork Reduction Act Comments Vaults in Washington, DC).
Writing and maintaining the GRS is
the responsibility of the GRS Team. You (MP), Room 4100; National Archives Estimated total annual burden hours:
and Records Administration; 8601 175 hours.
asabaliauskas on DSKBBXCHB2PROD with NOTICES

may contact the team with general
questions about the GRS at GRS_Team@ Adelphi Road; College Park, MD 20740– Abstract: The information collection
nara.gov. This team is part of Records 6001, fax them to 301–837–0319, or is prescribed by EO 12862 issued
Management Services in the National email them to tamee.fechhelm@ September 11, 1993, which requires
Records Management Program of the nara.gov. Federal agencies to survey their
Office of the Chief Records Officer at FOR FURTHER INFORMATION CONTACT: customers concerning customer service.
NARA. Contact Tamee Fechhelm by telephone The general purpose of this voluntary
Your agency’s records officer may at 301–837–1694 or email at data collection is to measure customer
contact the NARA appraiser or records tamee.fechhelm@nara.gov with requests satisfaction with the Public Vaults and

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Document Created: 2017-07-20 06:57:53
Document Modified: 2017-07-20 06:57:53

Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
Action		Notice of new General Records Schedule (GRS) Transmittal 28.
Dates		This transmittal is effective the date it publishes in the Federal Register.
Contact		For more information about this notice or to obtain paper copies of the GRS, contact Kimberly Keravuori, External Policy Program Manager, by email at [email protected] or by telephone at 301.837.3151.
FR Citation		82 FR 33518