Frequently Asked Questions about GRS 3.1, General Technology Management Records.
Updated: April 2024
DEFINITIONS
Information technology infrastructure (item 010). The basic systems and services that provide access to computers and data communications. It includes hardware and software, as well as the services to design, install, test, validate, and maintain these components.
System development (item 011). The development of information technology (IT) systems and software applications. This includes the entire process from initial stages to hand-off to production. Activities include planning, requirements analysis, design, verification and testing, procurement, and installation.
Special purpose computer programs and applications (item 012). Software the agency develops or has developed under its direction. Item 012 only covers software related to temporary electronic records.
Master files (item 012). The content of an electronic records series or system. It is the recordkeeping copy of an electronic record or system. Master files may consist of data, scanned text, PDFs, digital images, or some other form of electronic information. Related records within a single master file are not always the same format.
Configuration and change management (item 030). The process or method used to develop, operate, and maintain computer software, systems, and infrastructure improvements.
Data administration (items 050 and 051). The activity of managing data standards, corporate data models, registries, and data definitions and dictionaries.
QUESTIONS
1. Why is system data or content excluded from GRS 3.1?
System data or content is the information contained in a system. NARA needs to appraise this information based on its function and purpose.
2. Why are the Office of Management and Budget (OMB) and US Federal Chief Information Officers Council (CIO Council) excluded in this schedule?
Government-wide information management planning and programming records are unique activities in these agencies. They are not activities common to all agencies, so they are not appropriate for the GRS.
3. Are OMB Exhibit 300 records covered by this GRS?
No, but agencies can use GRS 6.3, item 010, Information Technology program and capital investment planning records, for OMB Exhibit 300 business case records. Although not specifically mentioned here, agencies may also file copies of OMB Exhibit 300 records in other case files. GRS 3.1 may cover some of these other case files, such as Infrastructure Project Records (GRS 3.1, item 010).
4. Why can’t my agency use this schedule for IT project contracts?
Contract records are a form of procurement file. The GRS covers contract records in GRS 1.1, Financial Management and Reporting Records.
5. Several items have 5-year retention periods. Why can’t my agency keep everything in GRS 3.1 for 5 years?
These records are not all maintained for 5 years. Different items have events that start the retention period. These events, or cutoffs, depend on the business processes related to the records. For example, agencies should keep infrastructure project records (item 010) for 5 years after the project ends. Meanwhile, they should keep system development records (item 011) for 5 years after the system is superseded or terminated.
Agencies can aggregate items in GRS 3.1 provided the retention is not reduced. We recommend combining only event-based records. So, you could combine items 010, 011, 030, 040, and 051, or any set of these items. The disposition instruction could then be something like "Destroy 5 years after final action." Final action would then include all the possible events associated with these items. Your agency would need to determine and use the appropriate final action for the record type.
6. Why does item 012 exclude certain software or applications?
Software and applications typically aren't records. They are only records when:
- An agency creates them;
- Pays a contractor to create them on the agency's behalf
- Significantly modifies a Commercial, off-the-shelf; or (COTS) so that the coding is unique.
The value of agency developed software or applications depends on the value of any associated records. Software and applications that are used with permanent records need to be scheduled on agency-specific schedules.
7. Why does my agency need to keep computer software or hardware?
Agencies must make sure that records are accessible and usable until their disposition. (See 36 CFR Sections 1236.10, 1236.12, 1236.14, and 1236.20.) Computer software, and sometimes hardware, is often required to open and read electronic records. Records or information in records could become inaccessible without the proper software.
8. Why does my agency need to keep system management records (item 030)?
Agencies need to keep system management records for two reasons. First, the records document system changes. Second, NARA needs them to understand the electronic records agencies transfer to its legal custody. (See item 030 Notes 2 and 3).
9. The GRS calls out certain technical documentation in item 050. My agency keeps these records in other series. Why should my agency use item 050 instead of the other items in GRS 3.1 for technical documentation?
NARA needs technical documentation for permanent records transferred into our custody. We cannot understand or provide access to the records without this information. Therefore, the GRS schedules technical documentation for permanent electronic systems as a permanent record.
10. Why does Note 1 tell my agency not to transfer records to NARA citing the item 050 authority?
Transfers to NARA can link to only one disposition authority. We recommend that agencies send electronic systems and their documentation as a single transfer. This keeps the documentation with the system. This combined transfer should use the disposition authority for the electronic system, not the GRS.