51004 Federal Register / Vol. 74, No. 190 / Friday, October 2, 2009 / Rules and Regulations 

NATIONAL ARCHIVES AND RECORDS 

ADMINISTRATION 

36 CFR Chapter XII, Subchapter B 

[FDMS Docket NARA–08–0004] 

RIN 3095–AB16 

Federal Records Management; 

Revision 

AGENCY: National Archives and Records 

Administration (NARA). 

ACTION: Final rule. 

SUMMARY: As part of its initiative to 

redesign Federal records management, 

NARA is revising and reorganizing the 

existing regulations on Federal records 

management to update records 

management strategies and techniques 

and to make the regulations easier to 

read, understand, and use. This rule 

will affect Federal agencies. 

DATES: This rule is effective on 

November 2, 2009. The incorporation by 

reference of the publications listed in 

the rule is approved by the Director of 

the Federal Register as of November 2, 

2009. 

FOR FURTHER INFORMATION CONTACT: 

Laura McCarthy at phone number 301– 

837–3023 or fax number 301–837–0319. 

SUPPLEMENTARY INFORMATION: 

Background 

On August 4, 2008, at 73 FR 45274, 

NARA published a proposed rule to 

revise and reorganize the Federal 

records management regulations 

contained in 36 CFR Chapter XII, 

Subchapter B. We received timely 

comments from 12 Federal agencies, 

four agency records officers who did not 

identify their comments as agency 

responses, one former Federal agency 

records management professional, and 

one records management consultant and 

practitioner. We also considered a late 

comment submitted by a professional 

organization. 

Discussion of Comments 

General Overview 

Two agencies concurred without 

further comment. Several agencies and 

records officers offered their support for 

most of the revisions, noting that the 

new regulations are easier to use and 

understand, while also addressing 

specific issues that caused them 

concern. The comments from the former 

agency records management official 

recommended that the regulation be 

‘‘fundamentally rethought in light of the 

born-digital, end-user environment in 

which agencies operate today’’ and 

offered suggestions for doing so. 

Specific issues raised in the comments 

and how we address them in this final 

rule follow. 

Use of ISO 15489 

Several comments addressed use of 

ISO 15489–1:2001, Records 

Management—Part 1: General in the 

regulation. Most supported its use and 

several suggested additional clauses to 

reference in specific parts, which we 

have adopted. The former agency 

records management official 

recommended a greater emphasis in the 

regulations on the ISO 15489–1 

concepts of risk and business need. We 

believe that these concepts are implicit 

in the regulations. NARA guidance and 

training emphasize how to apply these 

concepts. 

ARMA International advised against 

citing the standard because it is 

undergoing transformation into an ISO 

Management System Standard for 

Records Management and has not been 

adopted as an American National 

Standard in the United States. We did 

not accept this comment. NARA 

guidance and training for some time has 

emphasized the principles contained in 

ISO 15489–1. NARA is a participant 

with ARMA in the international 

standards (ISO) committee responsible 

for the standard and we believe that it 

is useful to records managers. We 

recognize that when the standard is 

replaced some time in the future by a 

new Management System Standard, the 

regulations will have to be modified. 

The records management consultant 

suggested that it wasn’t necessary to cite 

the ISO standard in each part; we did 

not adopt this comment based on the 

responses from the agencies and 

recognition that users frequently consult 

one or more specific Code of Federal 

Regulations (CFR) parts and not the 

whole subchapter, when looking for 

specific information. 

Updating Agency Guidance To Reflect 

Subchapter B Restructuring 

Two comments noted that while the 

revisions were helpful and much 

needed, the renumbering and 

reorganization of the regulations will 

require agencies that reference specific 

CFR sections in their internal policies to 

update their citations. We have added a 

Derivation Table as an appendix to this 

preamble to assist agencies in 

performing that update. We note that 

agencies should review their agency 

internal policies, in any case, to 

incorporate changes in the regulations. 

Record/Nonrecord Confusion 

One commenter advised that NARA 

focused too strongly on the distinction 

between record/nonrecord status of 

documentary materials and expressed a 

view that virtually all documentary 

materials meet the definition of a 

Federal record and need to be managed 

using records management principles. 

While we have clarified some sections 

in response to specific comments, we 

note that 44 U.S.C. 3301 defines what is 

a Federal record and 44 U.S.C. 3101 

assigns to Federal agencies the 

responsibility to determine what records 

must be made and preserved for 

adequate and proper documentation. 

Definition of Terms in § 1220.18 

Several comments concerned the 

definitions, or omissions of definitions, 

from § 1220.18, which provides 

definitions of terms used throughout 

subchapter B. 

In response to one comment on the 

definition of Adequate and proper 

documentation, we note that the 

definition is unchanged from the 

previous definition. 

Two comments suggested that the 

definition of Electronic records belongs 

here rather than only in part 1236, 

Electronic Records Management; in 

response to these comments, we have 

moved the definition to § 1220.18. 

We modified the definition of 

Nonrecord materials to use the term 

‘‘documentary materials’’ instead of 

‘‘informational materials,’’ as suggested 

by one comment. 

One agency recommended that the 

definition of Records maintenance and 

use be restored because agencies may 

misinterpret the meaning of the term. 

We have added a new definition that 

emphasizes that the term covers 

management and handling of records 

after creation or receipt and before final 

disposition. 

One agency suggested that we use a 

simpler definition of Records 

management provided by the Society of 

American Archivists. We have retained 

the statutory definition from 44 U.S.C. 

2901. 

We modified the introduction of the 

definition of Records schedule or 

schedule to clarify that the definition 

could mean any of the three sub-items, 

since this was not clear to a couple of 

reviewers. We did not adopt a 

recommendation that we add ‘‘or 

equivalent’’ to the first sub-item to allow 

for future changes in process using the 

Electronic Records Archives; at this 

time we do not anticipate such a need. 

Finally, we did not move the 

definition of Vital records from § 1223.2, 

as suggested by one comment, because 

the term is used primarily in part 1223 

and the few other references in other 


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sections clearly associate the term with 

part 1223. 

Other General Comments 

Two comments suggested that NARA 

provide a section in part 1220 that lists 

the NARA offices and common 

acronyms referenced throughout the 

CFR Subchapter B. We agree and have 

added § 1220.20, What NARA acronyms 

are used in this subchapter? 

One comment applauded the 

reference to industry (i.e., voluntary 

consensus) standards that are relevant to 

records management, but expressed 

concern over the expense to agencies of 

purchasing these standards. We note 

that this final rule specifies in each part 

that incorporates a standard by 

reference where the standard may be 

inspected or purchased. We also note 

that most of the standards were also 

incorporated by reference in the 

previous NARA regulations. 

One comment asked what reports, if 

any, NARA must make to Congress and 

the Office of Management and Budget 

(OMB), since the revised regulation does 

not include the information contained 

in the previous § 1220.16. NARA makes 

the reports specified under 44 U.S.C. 

2904(c)(8) as part of our Performance 

and Accountability Act and other 

special reports. In response to a 

comment from another individual, we 

did add a reference in § 1239.20 to the 

reporting that NARA will make to 

Congress and OMB on the results of 

inspections. 

We did not adopt one comment that 

suggested we include a section that 

provides minimum qualifications for 

records officers and a process that 

would promote direct communication 

between the designated records officer 

and the head of the agency. We believe 

that these issues can and should be 

addressed outside the regulatory 

process. We note, for example, that 

NARA has established a records 

management training certification 

program and meets regularly with senior 

agency officials on records management 

issues, emphasizing the role of the 

records officer. 

Comments on Part 1220—Federal 

Records; General 

One comment suggested revising the 

wording of § 1220.12(c) to emphasize 

that the appraisal process and 

Archivist’s determination involve both 

temporary and permanent records. We 

have clarified the paragraph, although 

we did not use the suggested wording. 

The title and text of § 1220.16 referred 

to both recorded information and 

documentary materials. Since 

‘‘documentary materials’’ are defined in 

§ 1220.18 as recorded information, we 

accepted a comment to drop 

‘‘documentary materials’’ from the title 

of the section. We also struck the 

reference to ‘‘recorded information’’ in 

the text of the section. 

Discussion of the comments on the 

definitions in § 1220.18 were addressed 

earlier in this SUPPLEMENTARY

INFORMATION. 

Three comments were received on 

§ 1220.32. One records officer asked for 

definitions of the terms ‘‘authentic,’’ 

‘‘reliable,’’ and ‘‘useable’’ when applied 

to records; paragraphs (a) through (f) 

explain how agencies create and 

maintain such records. In response to an 

agency comment, we have deleted from 

§ 1220.32(a) a requirement for 

specifying the form or format of each 

record, which is not necessary with 

media-neutral records scheduling. In 

response to another agency comment, 

we amended paragraph (b) of this 

section to incorporate a requirement for 

ensuring the integrity of records. 

One agency asked for more guidance 

on § 1220.34(c), which requires agencies 

to issue a records management directive, 

to disseminate it throughout the agency, 

and to send a copy to NARA. This is an 

existing requirement; NARA expects to 

receive the agency wide directive. 

Another agency recommended that we 

specify in § 1220.34(j) that agencies 

must audit their records management 

program to keep it up to date. We 

accepted this comment, modifying the 

proposed wording slightly. 

Comments on Part 1222—Creation and 

Maintenance of Federal Records 

We received several comments on the 

terms explained in § 1222.10(b). In 

response to two comments that the 

discussion of ‘‘documentary materials’’ 

did not match our earlier definition, we 

revised the wording to state that it has 

the meaning provided in the definition 

in § 1220.18. One comment on ‘‘made’’ 

asked that we define ‘‘official duties’’ to 

distinguish them from other types of 

duties that would not result in the 

creation of records; we do not think that 

such a definition is needed. 

We also received two comments on 

‘‘preserved.’’ One agency suggested that 

we clarify the discussion by indicating 

that it covers documentary materials in 

any medium; we agree and have made 

the change. One agency asked if the 

phrase ‘‘maintaining documentary 

materials’’ should be stated as 

‘‘maintaining record material’’; since 

this paragraph is addressing only one of 

the criteria for determining that 

documentary material meets the 

definition of Federal record, 

‘‘documentary materials’’ is the correct 

wording. 

A former agency records management 

official asked a series of questions about 

application of the discussion, but did 

not offer suggestions for change. He also 

asked whether information that an 

agency does not deem ‘‘appropriate for 

preservation’’ is a temporary 

(disposable) record or nonrecord 

material. The discussion of the meaning 

of ‘‘appropriate for preservation’’ makes 

the point that documentary material that 

the agency believes should be filed, 

stored or otherwise systematically 

maintained is a record even if the 

materials are not covered by the current 

filing or maintenance procedures. 

Three agencies expressed serious 

concern with the change in the 

specification in § 1222.12(c) of 

conditions for determining that working 

files are records. The previous 

regulations specified that both of two 

conditions must be met; the proposed 

rule changed this to an ‘‘or.’’ As two of 

the agencies pointed out, the revision 

would require retention as a record of 

even non-substantive editorial changes 

to preliminary drafts made by anyone 

other than the creator. In response to 

these comments, this final rule restores 

the requirement that both conditions be 

met. 

One agency suggested that we 

reference the § 1220.18 definition of 

record in § 1222.12(b). We do not 

believe this is needed as the reference 

is contained in § 1222.12(a). 

Another agency felt the proposed 

change to the second sentence in 

§ 1222.12(d) relating to multiple copies 

was confusing. We have restored the 

wording used in the previous 

regulation. 

One agency commended NARA for 

the clarity of the guidance on 

identification and management of 

nonrecord material in § 1222.14, while a 

former agency records professional 

recommended removing the reference to 

the volume of nonrecord materials 

because in his view, this cannot be 

proven and it leads people to suspect 

that much of their documentary 

materials are nonrecord. We did not 

remove the reference. However, we 

agreed with this commenter and another 

agency comment that the examples of 

extra copies of documents 

(§ 1222.12(b)(1)–(4)) should be removed 

because the examples were confusing 

and difficult to interpret; we have 

removed that item from § 1222.12. 

One comment asked that we 

emphasize in § 1222.16 that nonrecord 

materials be organized, accessible and 

usable (the same as records) for as long 

as needed. We do not agree; if the 


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agency has documentary materials that 

must be organized and available for use 

in conducting agency business, it is 

likely that the materials meet the 

definition of Federal record. Another 

comment suggested that we not use the 

term nonrecord materials but refer to 

them as documentary materials that can 

generally be purged; we do not find this 

suggestion helpful. 

A third comment asked for 

clarification on what needs to be done 

to separate electronic records and nonrecords. We note that § 1222.16(b)(2) 

requires that electronic non-record 

materials be readily identified and 

segregable from records; agencies have 

discretion to specify how that should be 

accomplished in their working 

environment. The proposed wording of 

§ 1222.20(b)(2) limited its applicability 

to electronic non-record materials 

maintained in an electronic repository. 

In the course of reviewing this 

comment, we determined that it should 

be applicable to all electronic nonrecord materials. 

One agency stated that § 1222.18(d) 

might be confusing because agencies 

have specific program requirements for 

telework and information 

dissemination. The comment suggested 

that NARA should elaborate with 

instructions for following agency 

program requirements. We did not 

adopt this comment. Agency records 

management requirements relating to 

telework and authorized information 

dissemination should be addressed in 

the agency controls over creation, 

maintenance and use of records in the 

conduct of current business (see 

§§ 1220.30(c)(1) and 1220.32). 

One agency recommended that the 

regulation retain the examples of 

personal files rather than direct users to 

NARA publications that provide more 

detailed discussion. The agency 

suggested that employees needed to see 

this in the regulation itself. We did not 

adopt this comment. The examples are 

not regulatory, and the NARA 

publication Documenting Your Public 

Service has been used by a number of 

agencies to brief their personnel on the 

issue. We also note that the regulation 

contains the definition of personal files 

in § 1220.18, which is referenced in 

§ 1220.20(a). 

Another agency expressed concern 

with § 1220.20(b)(2), which allows 

agencies to redact information about 

private matters on a copy of the 

document and treat that copy as the 

agency record if it was improperly 

mixed with agency business in a 

received document that is a Federal 

record. The agency stated that redacting 

the original affects its authenticity; 

private papers and Federal records 

should always be separate and clearly 

marked. We did not delete this 

provision, which has been contained in 

the NARA regulation on personal papers 

for a number of years. Agencies have the 

discretion to require the retention of the 

original document containing the 

private matters as the agency record or 

to do as § 1220.20(b)(2) allows. 

One agency suggested adding three 

additional types of records to the list in 

§ 1222.22 that must be created and 

maintained. Two items—documenting 

the National experience and 

contributing substantially to scientific 

knowledge—are criteria that NARA uses 

in appraising records, and not separate 

categories of adequate documentation of 

agency business. The third item— 

documenting data on the observation of 

natural phenomena—is specific to a 

subset of agencies and covered, we 

believe, in paragraph (a) on 

documenting the persons, places, things 

or matters dealt with by the agency. 

An individual asked for clarification 

of a number of items, including the 

relationship of §§ 1222.22 and 1222.24 

to the requirement in § 1220.30 to 

document essential transactions, 

whether there are agency activities that 

aren’t included in the list in § 1222.22, 

and whether all employees are agency 

officials. He suggested that agencies be 

required to identify essential 

transactions and that NARA recommend 

that agencies take a risk management 

approach to determine what is needed 

to ensure adequate and proper 

documentation. Section 1222.22 

specifies in broad terms the types of 

records that agencies must create and 

maintain in order to carry out their 

statutory responsibility (44 U.S.C. 3101, 

as cited in § 1220.30) to ‘‘make and 

preserve adequate and proper 

documentation of the organization, 

functions, policies, decisions, 

procedures and essential transactions of 

the agency * * *.’’ We believe that the 

wording of § 1222.22 is sufficient to 

identify essential transactions as well as 

the other categories of information 

specified in 44 U.S.C. 3101. Section 

1222.24 states how agencies are to carry 

out the responsibilities in § 1220.30. 

One agency recommended 

incorporating language from 

§ 1224.10(d) relating to addressing 

records management requirements 

during the planning stages of an 

information technology system in 

§§ 1222.24 or 1222.26, or both. We did 

not adopt this comment. The provision 

is explicitly addressed in § 1220.34(d) 

and (e) and § 1236.12. 

One commenter suggested adding a 

requirement to § 1222.28 to create 

documentation of e-mail, phone calls, 

etc. We believe that § 1222.26, when 

taken in conjunction with § 1222.28, 

provides this requirement. Section 

1222.26 is focused on maintenance 

requirements. The commenter also 

suggested that § 1222.28(e) should focus 

on determining and standardizing the 

retention of working files for specific 

types of transactions rather than 

determining which working files are 

records; we did not adopt this 

suggestion. We agree with his premise 

that working files necessary to conduct 

the work of the agency should meet the 

definition of a record; this paragraph is 

requiring agencies to identify what 

working files meet the conditions in 

§ 1222.12(c) to be a record. Determining 

and standardizing the retention of 

working files for specific types of 

transactions should be done in 

conjunction with the scheduling process 

prescribed in part 1225. 

Two agencies and one individual 

commented on § 1222.32. One agency 

stated that the language is clear and 

unambiguous, while the other agency 

asked for additional stronger language 

in several areas, including regarding 

when contractor records belong to the 

government, the authority of record 

managers to determine whether contract 

records belong to the government, and 

that contractors must follow agency 

records management requirements. We 

believe that these issues are clearly 

addressed in §§ 1222.32(b), (a)(3), and 

(a)(2), respectively. The agency also 

asked for a statement that all records 

created or stored on government 

networks are the property of the 

government and to have a sample list of 

the types of contractor records the 

government has no interest in. We also 

did not adopt these comments. As we 

noted previously with the comment on 

telework policy, policies relating to 

storing records on government networks 

should be addressed in the agency 

controls over creation, maintenance and 

use of records in the conduct of current 

business (see §§ 1220.30(c)(1) and 

1220.32). There is no single list of 

examples of contractor records that 

would be applicable to all contracts. 

The individual recommended that we 

modify the language of § 1222.32(a)(4) to 

read ‘‘* * * sufficient technical 

documentation to permit understanding 

and use of the records and data,’’ 

because ‘‘use’’ alone could be very 

narrowly interpreted. We have made 

this change. 

One agency commented that 

§ 1222.34(d) should include a 

requirement to ensure that electronic 

records are migrated to future 

technology to ensure their readability. 


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We did not adopt this comment. 

Paragraph (b) of this section requires 

agencies to maintain electronic records 

in accordance with 36 CFR part 1236; 

one of the requirements in part 1236 

addresses migration. In response to a 

comment from an individual, we have 

modified § 1222.34(f) to reference 

§ 1222.16, which calls for electronic 

nonrecord material to be segregable 

from electronic records. 

Comments on Part 1223—Managing 

Vital Records 

One comment noted that this part 

makes no reference to records safety 

procedures that should be followed in 

the day-to-day operations of an agency. 

Such procedures are addressed in other 

parts; part 1223 concerns the agency 

vital records program that is part of the 

agency’s continuity of operations 

program (COOP). Two agencies noted 

that Federal Preparedness Circular 

(FPC) 65 has been superseded by 

Federal Continuity Directives (FCD) 1 

and 2 in February 2008. We have 

updated the references in §§ 1223.1 and 

1223.14. 

One agency suggested adding to the 

definition of legal and financial rights 

records in § 1223.2 such examples as 

memorandums of understanding and 

host tenant agreements. We believe that 

the additional examples are not 

required. 

One agency noted confusion with the 

statement in § 1223.16 that the 

information content determines which 

records series and electronic systems are 

vital records, and that only the most 

recent and complete sources of the 

information are vital records. Vital 

records are a subset of the agency’s 

records that are needed for the agency 

to be able to operate in an emergency or 

under COOP conditions. 

One agency recommended providing 

more explicit detail in § 1223.22 for the 

requirement that vital records dispersal 

sites must be ‘‘a sufficient distance away 

so as not to be subject to the same 

emergency.’’ It is not feasible for NARA 

to establish more specific criteria, such 

as ‘‘close enough for staff to access and 

retrieve records within 12 hours’’ which 

the agency suggested. Agencies must 

determine what dispersal distances and 

retrieval requirements will address their 

needs, as identified in their continuity 

plans. 

Comments on Part 1224—Records 

Disposition Programs 

Two agencies commented on 

§ 1224.10. One agency suggested that 

records management program 

promotion activities should be given 

more emphasis, either here or in 

§ 1220.34; we did not adopt this 

suggestion. We note that § 1224.10(e) 

and § 1220.34(f) require agencies to 

provide training and guidance to all 

employees on records management 

responsibilities. Another agency asked 

that § 1224.10(b) state the time frame for 

dissemination of records schedules and 

General Records Schedules (GRS), 

noting that § 1226.12(a) gives a time 

limit of six months. We have added a 

reference to that section. 

Comments on Part 1225—Scheduling 

Records 

We received comments from three 

agencies and an editorial comment from 

an individual on § 1225.12. One agency 

asked where additional NARA guidance 

could be found; we added the URL for 

the NARA Web site. One agency asked 

for additional step by step guidance for 

scheduling and how GRS 20, Electronic 

Records, applies; such guidance is 

available in the Disposition of Federal 

Records handbook and other NARA 

guidance referenced in the introductory 

paragraph. A third agency asked for 

clarification of the phrase ‘‘flexible 

retention period’’ in paragraph (d); the 

details of this are provided in the NARA 

guidance described in the introductory 

paragraph to the section. This agency 

also asked for clarification of the 

wording for media neutral schedules; in 

response to that comment we have made 

a minor edit. We also made a minor edit 

to paragraph (i) in response to an 

individual’s comment. 

We made two changes to 

§ 1225.14(b)(2) in response to agency 

comments. To reflect that new 

schedules are media neutral, unless the 

agency proposes otherwise, we modified 

§ 1225.14(b)(2)(ii) to read ‘‘Physical 

type, if appropriate;’’ and clarified what 

we meant by arrangement statement in 

§ 1225.14(b)(2)(iv). 

We modified § 1225.14(b)(3)(i) to add 

‘‘if appropriate, the time period for 

retiring inactive records to an approved 

records storage facility’’ at the 

suggestion of an agency records officer. 

A similar statement is already provided 

for temporary records in § 1225.16. The 

records officer also suggested adding the 

statement where a permanent records 

series is nonrecurring; we believe that 

the existing choices of immediate 

transfer to the National Archives of the 

United States or transfer at a set date in 

the future are sufficient. 

We clarified the language in 

§ 1225.14(c) after reviewing a comment 

on the wording of subparagraph (c)(2). 

We did not adopt the comment to 

require submission of a revised 

Standard Form (SF) 115 within one year 

after an SF 115 item is withdrawn. 

One agency expressed concern with 

the requirement to schedule agency Web 

sites in § 1225.22(h), noting that the 

requirement creates a burden on NARA 

and agencies. We note that this 

requirement is consistent with both the 

Managing Web Records guidance issued 

in January 2005 and the NARA Bulletin 

2006–02, which implemented section 

207(e) of the E-Government Act. 

Another agency asked how paragraph 

(h)(4) differs from the guidelines in GRS 

20 regarding the applicability of GRS to 

electronic records and when an SF 115 

must be submitted. Paragraph (h)(4) is 

the NARA policy. The revised GRS 20 

is the specific disposition authority for 

agencies to use for specific types of 

records described in the individual GRS 

items. 

Two agencies raised questions about 

the application of the notification 

requirement in § 1225.24(a) for 

permanent records. One agency asked 

when the agency is required to notify 

NARA if only some electronic case files 

are permanent. The requirement is to 

notify NARA in writing that the series 

is now maintained electronically; we 

have clarified the wording. Another 

agency interpreted the requirement to 

notify NARA within 90 days of when an 

electronic recordkeeping system for 

permanent records becomes operational 

as being contrary to the guidance in 

NARA Bulletin 2006–02, which requires 

agencies to schedule previously 

unscheduled electronic systems and 

records by October 1, 2009. We have 

clarified with the agency that if the 

conditions in paragraph (a)(1) apply, the 

agency may notify NARA in accordance 

with that paragraph rather than submit 

a new SF 115. 

An agency records officer suggested 

that we explicitly state in § 1225.26 that 

a new SF 115 is not required as the form 

of written request to extend the time 

period that permanent record remain in 

agency custody. We have added a 

sentence to that effect. He also 

questioned the need to submit an SF 

115 if the agency needs to increase the 

retention period for a series of 

temporary records, suggesting that a 

notification should be sufficient. While 

NARA has relaxed the requirements for 

NARA approval of temporary increases 

in retention to meet special 

circumstances (see § 1226.18), we 

believe that ongoing application of a 

different retention period than what 

NARA approved on the SF 115 requires 

NARA review. 

Comments on Part 1226—Implementing 

Disposition 

An agency records officer asked that 

we modify the time limit in § 1226.12 


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for issuing new approved disposition 

authorities to allow 1 year for 

dissemination; we did not adopt this 

comment. The current 6 month 

requirement has been in effect for a 

number of years. Because the new 

disposition authorities go into effect on 

NARA approval, we believe that prompt 

dissemination to agency staff is 

necessary. 

Two comments asked why an agency 

must inform NARA about the need to 

maintain records longer than the 

retention period in the case of legal 

holds. We have removed this 

notification requirement from § 1226.20. 

We remind agencies that they must 

ensure that records in records storage 

facilities, including any NARA Federal 

records centers, are retained for the 

duration of the legal hold, as paragraph 

(c) of this section states. 

Two comments addressed the 

requirements in § 1226.24 for destroying 

temporary records through sale as waste 

paper or salvage. One comment asked 

that we explicitly identify the actions in 

paragraphs (a)(1) and (a)(2) as recycling; 

we do not believe this is necessary. One 

agency noted that this may not be 

feasible for overseas bases and that an 

agency may want its personnel to 

destroy security classified records. We 

have modified paragraph (b)(1) to clarify 

that the agency or its wastepaper 

contractor may be the responsible party. 

We did not adopt a comment on 

§ 1226.26 to reduce the information 

required to request approval to donate 

disposable temporary records to 

appropriate recipients. NARA needs this 

information to make its determination. 

We note that the provisions of this 

section have been in place for more than 

10 years. 

Comments on Part 1227—General 

Records Schedules 

We received two comments on this 

part. One comment concerned whether 

NARA issues General Records 

Schedules (GRS) covering permanent 

records; we do. The other comment 

suggested that the time period for 

notifying NARA that an agency wishes 

to continue to use an agency-specific 

records schedule in lieu of the GRS be 

changed from 90 days to 1 year. We 

extended the notification period to 4 

months; the revised time frame will still 

enable the agency to disseminate the 

newly issued GRS to agency staff within 

the time limits specified in § 1226.12 

should a decision be made to no longer 

use the agency-specific schedule item. 

Comments on Part 1228—Loan of 

Permanent and Unscheduled Records 

One agency suggested that we 

specifically address loan of temporary 

records. We have added a new § 1228.8, 

Do loans of temporary records require 

NARA approval? with a clear statement 

that NARA approval is not required for 

loan of temporary records, but that 

agencies must maintain their own 

controls over such loans. 

We received two comments on 

§ 1228.14 regarding the time frames in 

which NARA will act on requests to 

loan permanent records. One agency 

suggested that NARA should be able to 

act on a request within 15 days; an 

individual suggested that we provide a 

time frame for denying requests. In this 

final rule, the time frames for approving 

or denying loans of original permanent 

or unscheduled records are set as within 

30 days. Where NARA can act more 

quickly, we will. 

One agency noted that it must loan 

medical records routinely to another 

agency; while these records are 

currently scheduled as temporary 

records, we recognize that there may be 

a few instances where agencies cannot 

provide copies in lieu of original 

permanent records. Therefore, we have 

modified this section by adding a new 

paragraph (b) to allow an agency to 

prepare an annual loan agreement 

covering multiple transfers from the 

same series of records to another single 

Federal agency. 

Comments on Part 1229—Emergency 

Authorization To Destroy Records 

We received three comments on this 

part. We made two editorial revisions to 

§ 1229.10 in response to comments— 

‘‘the Archivist’’ has been replaced by 

‘‘NARA’’ and we made the references to 

‘‘continuing menace to human health or 

life, or to property’’ consistent in the 

section title, introductory paragraph, 

and paragraph (a) of § 1229.10. One 

agency non-concurred with the 

introductory paragraph, which is taken 

directly from 44 U.S.C. 3310; the agency 

also asked that NARA impose a 72-hour 

limit on responding to an agency 

request. NARA will respond quickly to 

urgent requests, as we have 

demonstrated with Hurricane Katrina 

records in the past, and we do not 

believe that the rule needs to include a 

specific short timeframe. We also did 

not adopt the suggestion from another 

agency that the wording of § 1229.12 

should specify ‘‘scientific records’’ as a 

category of records lacking sufficient 

value to warrant continued preservation 

when the space they occupy is urgently 

needed for military purposes. We 

believe that the current wording, taken 

from 44 U.S.C. 3311, would cover such 

scientific records under the category of 

‘‘other value.’’ 

Comments on Part 1230—Unlawful or 

Accidental Removal, Defacing, 

Alteration, or Destruction of Records 

One agency noted that the language in 

§ 1230.10 more closely tracked 44 U.S.C. 

3106 and asked if the new wording 

increased liability for agency heads and 

records officers. The regulation now 

more clearly states what have always 

been the agency responsibilities under 

44 U.S.C. 3106. Another agency claimed 

that § 1230.14 should require NARA 

Federal Records Center staff to report 

loss of records in Federal Records 

Center space to NARA (NWM). We did 

not modify the section. It is the 

responsibility of the agency to report all 

instances of accidental or unlawful 

removal, defacing, alteration or 

destruction of its records. If records are 

damaged (e.g., water leaks or fire) while 

in NARA Federal Records Center space, 

the records center will notify the 

customer agency which will in turn 

notify NWM. 

Comments on Part 1232—Transfer of 

Records to Records Storage Facilities 

One agency raised concerns with 

§ 1232.18(h), which requires agencies to 

provide access to appropriate NARA 

staff to records in records storage 

facilities in order to conduct inspections 

or process SF 115s. Their concerns 

center on access to security classified 

records. No change is required in the 

regulation. The NARA staff would have 

the appropriate clearances and access 

would be requested and conducted in 

accordance with all regulations 

governing access to national security 

classified information or other restricted 

information (e.g., IRS or Census 

records). This is an existing requirement 

in 36 CFR 1228.154(e) and is based on 

the statutory authority in 44 U.S.C. 

2906. 

Comments on Part 1233—Transfer, Use, 

and Disposition of Records in a NARA 

Federal Records Center 

We have deleted a paragraph from 

§ 1233.10 in this final rule as 

unnecessary and potentially confusing. 

The paragraph in the proposed rule 

stated that NARA Federal Records 

Centers may accept contaminated 

records. Any decision on whether 

specific contaminated records may be 

transferred to a Federal Records Center 

will be addressed in the agency 

agreement with NARA. 

One agency commented on 

§ 1233.14(b) that all active duty 


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outpatient records are transferred to the 

VA Records Center at the time of the 

discharge of the member from active 

duty. We have modified paragraph (b) to 

reflect this exception. 

One agency requested that § 1233.16 

provide additional detailed guidance on 

transferring Official Personnel Folders 

(OPFs) to the National Personnel 

Records Center (NPRC). The Office of 

Personnel Management is the agency 

responsible for OPFs and their transfer 

requirements. We updated the URL for 

the Guide to Personnel Recordkeeping. 

Another agency objected to the 

statement in § 1233.20(a) that NPRC 

does not send a disposal notice to the 

transferring agency before destroying 

records covered in General Records 

Schedules (GRS) 1 and 2. The records 

addressed by paragraph (a) and GRS 1 

and 2 belong to the Office of Personnel 

Management, not the transferring 

agency. 

Comments on Part 1235—Transfer of 

Records to the National Archives of the 

United States 

One agency suggested that we add a 

section concerning pre-accessioning 

(early physical transfer to NARA) of 

permanent electronic records. We did 

not adopt this comment because the 

cases where pre-accessioning can be 

considered is currently limited and the 

nature of the program may change as the 

Electronic Records Archives (ERA) 

matures and the NARA Federal Records 

Center Program adds to its electronic 

records storage services. 

Another agency expressed concerns 

that the proposed § 1235.16 would 

lessen the ability of agencies with 

national security classified information 

to exempt particularly sensitive 

classified information from transfer to 

NARA. The conditions for agency 

retention of records that are more than 

30 years old have been in place since 

1992 and remain unchanged. We did, 

however, add a section with timeframes 

for NARA action on agency requests. An 

individual recommended that we add a 

timeframe to § 1235.22 for acting on 

submitted SF 258s; we did not adopt 

this comment because the timeframes 

needed will depend on the types and 

volumes of records transferred and 

whether we must clarify information 

with the transferring agency. 

Another agency asked that we add to 

§ 1235.32(b)(1) examples of the 

restrictions on records; we did not adopt 

this comment because paragraph (c) of 

that section directs readers to 36 CFR 

part 1256, which covers restrictions that 

NARA imposes. 

Several comments addressed the 

Subpart C provisions for transfer of 

records in electronic and other special 

media formats. We made editorial edits 

to refer consistently to ‘‘digital 

geospatial data.’’ We have clarified the 

use of DVDs for transfer of electronic 

sound recordings (§ 1235.42(e)) and 

when Tape Archive (TAR) utility can be 

used for transferring electronic records 

(§§ 1235.46 and 1235.50). We also 

restored to § 1235.46(b)(3) a table for the 

standards to be used in conjunction 

with DLT tape cartridges that was 

inadvertently omitted from the 

proposed rule. The table is the same as 

in the previous regulation at 

§ 1228.270(c)(1)(iii). We also added to 

§ 1235.50(d) the use of XML markup 

language. 

One agency objected to the 

specifications in § 1235.50 for electronic 

records, stating that this goes against 

NARA’s ERA vision. The ERA vision 

statement accurately reflects NARA’s 

view of the functionality of the system 

when ERA is fully deployed. This CFR 

provision reflects the reality of what 

NARA can accept today. As ERA is able 

to accept additional record formats in 

future increments, we will further revise 

this section. 

Comments on Part 1236—Electronic 

Records Management 

One comment from the former agency 

records management official 

recommended that most of part 1236 

should be combined with part 1222. He 

argued that this would provide the 

media-neutral approach that ISO 15489– 

1 has adopted and that most of the 

requirements of part 1236 apply to all 

recordkeeping systems. While we agree 

that the fundamental concepts 

applicable to managing records are the 

same regardless of media, we believe 

that specifying the requirements for 

electronic records management in a 

separate part is still helpful to agencies. 

We note that § 1236.6 clearly requires 

agencies to incorporate management of 

electronic records into the records 

management activities required by parts 

1220–1235. 

Two agencies asked whether the 

requirements in §§ 1236.10, 1236.20, 

1236.22 and 1236.24 are applicable to 

all systems that maintain electronic 

records, including transitory e-mail 

records. We have clarified § 1236.24 to 

state that transitory e-mail may be 

managed as specified in § 1236.22(c). 

The agencies also asked about the 

difference between structured and 

unstructured records and whether a 

record created using an e-mail system is 

always considered an unstructured 

record. Structured records, such as 

database records, have predetermined 

data types and understood 

relationships. The definition of 

‘‘unstructured record’’ specifies that 

records created using electronic mail 

and other messaging applications are 

considered unstructured records; this is 

because e-mail records may contain 

attachments that are unstructured in 

format. Finally, they asked how to 

manage transitory e-mail records in 

accordance with § 1236.22(c)(2). This 

provision has not changed since it was 

established in 2006 and allows agencies 

to maintain and delete transitory (i.e., 

with a retention period of 180-day or 

less retention) e-mail records from their 

live e-mail systems without transferring 

these records to a recordkeeping system 

if certain conditions are met. The 

agency would use GRS 23, item 7 or a 

NARA-approved agency schedule that 

covers such e-mail records as the 

disposition authority. 

In response to one agency’s concern 

that agencies may not consider the need 

to migrate electronic records that have 

been sent to off-line or off-site storage 

areas, we have added a new § 1236.14(c) 

to emphasize that this section applies to 

such records. Another agency expressed 

a view that it is not feasible for all 

agencies to continuously migrate 

electronic media to current formats. The 

section requires agencies to plan and 

take actions to ensure their electronic 

records are usable for their full agency 

retention period; agencies are given 

flexibility as to how they do this. 

One agency suggested that NARA 

provide a list of metadata elements in 

both §§ 1236.12 and 1237.28 pertaining 

to content, context, and structure of 

electronic information. We did not 

adopt this suggestion. While 

§ 1236.22(a)(1) specifies certain 

minimum metadata that must be 

preserved for e-mail records, each 

agency must identify for itself what 

metadata is needed to meet agency 

business needs. 

One agency argued that the print-andfile method of recordkeeping cannot 

always capture a complete record; we 

agree and § 1236.24(b) requires agencies 

to establish policies and issue 

instructions to ensure capture of any 

pertinent hidden text or structure 

relationships that the agency identifies 

as required for its business needs. We 

disagree with the agency’s view that 

part 1236 should not apply to temporary 

records if an agency risk analysis 

supports using a method for managing 

electronic records that best meets its 

business needs even though it might not 

meet every records management 

requirement. 


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Comments on Part 1237—Audiovisual, 

Cartographic, and Related Records 

Management 

One agency suggested adding 

‘‘orthophoto images’’ to the list of 

cartographic records in § 1237.3 and 

expanding paragraph (b) of that section 

to address aerial observations that are 

not film-based. We adopted the first 

suggestion; we will consider specific 

coverage of other aerial observation 

records in a future rulemaking. Another 

agency asked if § 1237.12 applies to 

only records created in the future. We 

note that the previous NARA 

regulations on permanent audiovisual 

records (36 CFR 1232.20(a) and 

1228.266) already require agencies to be 

able to transfer the same record 

elements that are cited in this section. 

We added the elements to part 1237 so 

that agencies are aware of what they 

eventually will need to transfer to the 

National Archives of the United States. 

In response to comments from two 

agencies, we corrected the wording in 

§ 1237.14 to state that disposition 

instructions should provide for early 

transfer of permanent audiovisual, 

cartographic, and related records. One 

agency asked for more guidance in 

§§ 1237.22(f) and 1237.28(b); those 

sections advise agencies to contact 

specific NARA organizations for 

additional assistance. 

Comments on Part 1239—Program 

Assistance and Inspections 

As noted earlier in this 

Supplementary Information, we added a 

new final sentence to § 1239.20 

addressing reporting to Congress and 

the Office of Management and Budget 

on inspections. 

Other Changes in This Final Rule From 

the Proposed Rule 

In addition to the changes to the 

proposed rule discussed in previous 

sections of this SUPPLEMENTARY

INFORMATION, we have revised language 

relating to the incorporation by 

reference (IBR) of standards throughout 

to meet the Office of the Federal 

Register’s requirements; corrected 

erroneous cross references to other 

sections; and, as announced in the 

proposed rule, added as part 1234, 

Facility Standards for Records Storage 

Facilities, the regulatory text of the 

previous 36 CFR part 1228, subpart K 

and the two appendixes to the previous 

36 CFR part 1228. We also made other 

minor, nonsubstantive editorial 

corrections. 

Regulatory Impact 

This rule is a significant regulatory 

action for the purposes of Executive 

Order 12866 and has been reviewed by 

the Office of Management and Budget 

(OMB). As required by the Regulatory 

Flexibility Act, I certify that this rule 

will not have a significant impact on a 

substantial number of small entities 

because this regulation will affect 

Federal agencies. This regulation does 

not have any federalism implications. 

This rule is not a major rule as defined 

in 5 U.S.C. Chapter 8, Congressional 

Review of Agency Rulemaking. 

Appendix to the Preamble—Derivation 

Table 

The following derivation table is 

provided as a convenience to readers to 

assist them in locating where each piece 

of the revised material in this final rule 

comes from. This table will not be 

published in the Code of Federal 

Regulations. It will be available on 

NARA’s Web site at http:// 

www.archives.gov/about/regulations/ 

subchapter/b.html. 

New section Old section Notes on significant policy changes 

Part 1220 Part 1220 

1220.1 ............................................. 1220.1.

1220.2 ............................................. 1220.10.

1220.3.

1220.10 ........................................... 1220.2.

1220.12 ........................................... ........................................................ New summary of NARA responsibilities. 

1220.14 ........................................... 1220.12.

1220.16 ........................................... ........................................................ New explicit statement that the regulations cover Federal records. 

1220.18 ........................................... 1220.14 .......................................... Terms that were added: 

Disposition authority. 

Electronic record. 

Information system. 

Personal files. 

Retention period. 

Terms that were substantively revised: 

Documentary materials. 

Records schedule. 

1220.30 ........................................... 1220.30; 1222.10 (b) and (c).

1220.32 ........................................... 1220.34–1220.38 ........................... Added reference to continuity of operations. 

1220.34 ........................................... ........................................................ Comprehensive high level list of responsibilities across the records 

lifecycle drawn from old §§ 1220.40, 1228.42, 1222.20, and 

1228.12. 

Part 1222 Part 1222 

1222.1 ............................................. 1222.10.

1222.2.

1222.3.

1222.10 ........................................... 1222.12.

1222.12 ........................................... 1222.34(a)–(d).

1222.14 ........................................... 1222.34(f).

1222.16(a) ....................................... 1222.30(b).

1222.16(b) ....................................... ........................................................ New; previous covered in NARA guidance. 

1222.18 ........................................... 1222.42 .......................................... Substantive change in policy. 

1222.20 ........................................... 1222.36.

1222.22 ........................................... 1222.38.

1222.24 ........................................... 1222.32.


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1222.26 ........................................... ........................................................ New; previous covered in NARA guidance. 

1222.28 ........................................... ........................................................ New; previous covered in NARA guidance. 

1222.30 ........................................... 1222.46.

1222.32 ........................................... 1222.48 .......................................... Substantively expanded. 

1222.34 ........................................... 1222.50.

Part 1223 Part 1236 

1223.1 ............................................. 1236.12 .......................................... Updated references. 

1223.2 ............................................. 1236.14.

1223.3.

1223.10 ........................................... 1236.10.

1223.12 ........................................... 1236.20 Introductory paragraph.

1223.14 ........................................... 1236.20(a)–(d).

1223.16 ........................................... 1236.22.

1223.18.

1223.20 ........................................... 1236.24.

1223.22 ........................................... 1236.26.

1223.24 ........................................... 1236.28.

Part 1224 Part 1228 Subpart A 

1224.1 ............................................. 1228.10.

1224.2.

1224.3.

1224.10 ........................................... 1228.12.

Part 1225 Part 1228 Subpart B 

1225.1.

1225.2.

1225.3.

1225.10 ........................................... ........................................................ New statement of long-standing policy that all records must be 

scheduled. 

1225.12 ........................................... 1228.22 .......................................... Updated with NARA guidance on conducting functional or work process analysis and flexible scheduling. 

1225.14 ........................................... 1228.28.

1225.16 ........................................... 1228.30.

1225.18 ........................................... 1228.22 and 1228.24.

1225.20 ........................................... 1228.22(f).

1225.22 ........................................... 1228.31(a) ..................................... Comprehensive listing of situations when new SF 115 is needed 

drawn from multiple other sections. 

1225.24 ........................................... 1228.31(b).

1225.26 ........................................... 1228.32.

Part 1226 Part 1228 Subpart B 

1226.1.

1226.2.

1226.3.

1226.10 ........................................... 1228.50 introductory paragraph.

1226.12 ........................................... 1228.50(a)(1)–(4) and (d) .............. Substantive change in policy. 

1226.14 ........................................... 1228.50 (c) .................................... Substantive change in policy. 

1226.16 ........................................... 1228.52.

1226.18 ........................................... 1228.54(a).

1226.20 ........................................... 1228.54(c).

1226.22 ........................................... 1228.56.

1226.24 ........................................... 1228.58 (b) and (c).

1226.26 ........................................... 1228.60.

Part 1227 Part 1228, Subpart C 

1227.1.

1227.2.

1227.3.

1227.10 ........................................... 1228.40.

1227.12 ........................................... 1228.42 .......................................... Deadlines changed. 

1227.14 ........................................... 1228.46.

Part 1228 Part 1228, Subpart E 

1228.1.

1228.2.

1228.10 ........................................... 1228.72 .......................................... Substantive change in policy. 

1228.12 ........................................... 1228.74.


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New section Old section Notes on significant policy changes 

1228.14 ........................................... 1228.76.

1228.16 ........................................... 1228.78.

Part 1229 Part 1228, Subpart F 

1229.1.

1229.2.

1229.3.

1229.10 ........................................... 1228.92(a).

1229.20 ........................................... 1228.94.

Part 1230 Part 1228, Subpart G 

1230.1.

1230.2.

1230.3 ............................................. ........................................................ Added definitions Alteration, Deface, Removal and Unlawful or Accidental Destruction. 

1230.10 ........................................... 1228.100.

1230.12 ........................................... 1228.102.

1230.14 ........................................... 1228.104(a).

1230.16 ........................................... ........................................................ New section on NARA actions. 

1230.18 ........................................... 1228.104(c).

Part 1231 Part 1228, Subpart H 

1231.1 ............................................. 1228.120.

1231.2.

1231.10 ........................................... 1228.122.

1231.12 ........................................... 1228.124 and 1228.126.

1231.14 ........................................... 1228.128.

1231.16 ........................................... 1228.134.

1231.18 ........................................... 1228.136.

Part 1232 Part 1228, Subpart I 

1232.1.

1232.2.

1232.3.

1232.10 ........................................... 1228.150.

1232.12 ........................................... 1228.152.

1232.14(a) ....................................... 1228.154(a).

1232.14(b) ....................................... 1228.154(b).

1232.14(c) ....................................... 1228.154(c) introductory paragraph.

1232.14(d) ....................................... 1228.154(d) introductory paragraph.

1232.16 ........................................... 1228.154(c)(1)–(c)(2) and (d)(1)– 

(d)(2).

1232.18 ........................................... 1228.154(e)–(f) and 1228.156.

Part 1232 Part 1228, Subpart J 

1233.1.

1233.2.

1233.3.

1233.10 ........................................... 1228.160(a), (d), (e).

1233.12 ........................................... 1228.162.

1233.14 ........................................... 1228.164 ........................................ Added military medical treatment files. 

1233.16 ........................................... 1228.166 ........................................ Added military medical treatment files. 

1233.18 ........................................... 1228.168 ........................................ Significant updates. 

1233.20 ........................................... 1228.170.

Part 1234 Part 1228, Subpart K Note: The only changes between the old and new sections are the 

section numbers and revised IBR language for § 1234.3. 

1234.1 ............................................. 1228.220.

1234.2 ............................................. 1228.222.

1234.3 ............................................. 1228.224.

1234.4 ............................................. 1228.226.

1234.10 ........................................... 1228.228.

1234.12 ........................................... 1228.230.

1234.14 ........................................... 1228.232.

1234.20 ........................................... 1228.234.

1234.22 ........................................... 1228.236.

1234.24 ........................................... 1228.238.


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New section Old section Notes on significant policy changes 

1234.30 ........................................... 1228.240.

1234.32 ........................................... 1228.242.

1234.34 ........................................... 1228.244.

Appendix A to Part 1234 ................. Appendix A to Part 1228.

Appendix B to Part 1234 ................. Appendix B to Part 1228.

Part 1235 Part 1228. Subpart L 

1235.1 ............................................. 1228.260.

1235.2.

1235.3.

1235.4.

1235.10 ........................................... 1228.262(a) introductory text.

1235.12 ........................................... 1228.262 (a)(1)–(a)(2).

1235.14 ........................................... 1228.264(a) and(c)(1)–(c)(6) ......... NARA approval requirement added. 

1235.16 ........................................... 1228.264(d) ................................... NARA approval requirement added. 

1235.18 ........................................... 1228.272(a).

1235.20 ........................................... 1228.274(a).

1235.22 ........................................... 1228.272(c).

1235.30 ........................................... 1228.280(a).

1235.32 ........................................... Tracks current 1228.274(b) and (c).

1235.34 ........................................... 1228.282.

1235.40.

1235.42 ........................................... 1228.266 and 1228.268 ................ Added digital photographic and geospatial data records. 

1235.44 ........................................... 1228.270(b).

1235.46 ........................................... 1228.270(c).

1235.48 ........................................... 1228.270(e).

1235.50 ........................................... 1228.270(d) ................................... Significant updates. 

Part 1236 Part 1234 

1236.1.

1236.2 ............................................. ........................................................ Added definitions Unstructured electronic records, metadata. 

1236.6 ............................................. 1234.10.

1236.10.

1236.12.

1236.14.

1236.20.

1236.22 ........................................... 1234.24.

1236.24.

1236.20(a) ....................................... 1234.10(m).

1236.26(b) ....................................... 1234.20(b).

1236.28 ........................................... 1234.30 .......................................... Significant updates. 

Part 1237 Part 1232 

1237.1 ............................................. ........................................................ Includes cartographic records management. 

1237.2.

1237.3 ............................................. ........................................................ Added definitions: 

Aerial photographic records 

Architectural and engineering records 

Cartographic records. 

1237.4.

1237.10 ........................................... 1232.20(a) and (d) ......................... Added cartographic records management. 

1237.12 ........................................... ........................................................ Reflects transfer requirements from 1228.266. 

1237.14.

1237.16 ........................................... 1232.26(a), (c)–(e) ......................... Significant updates. 

1237.18 ........................................... 1232.26(b) ..................................... Significant updates. 

1237.20 ........................................... 1232.28.

1237.22.

1237.24.

1237.26 ........................................... 1232.30.

1237.28.

1237.30 ........................................... 1232.22 and 1232.24.

Part 1238 Part 1230 

1238.1 ............................................. 1230.1.

1238.2 ............................................. 1230.2.

1238.3 ............................................. 1230.4.

1238.4.

1238.5 ............................................. 1230.3.

1238.10 ........................................... 1230.2(d).

1238.12 ........................................... 1230.12(a)–(b).

1238.14 ........................................... 1230.14.


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New section Old section Notes on significant policy changes 

1238.16 ........................................... 1230.16.

1238.20 ........................................... 1230.20.

1238.22 ........................................... 1230.22.

1238.24 ........................................... 1230.24.

1238.26 ........................................... 1230.26.

1238.28 ........................................... 1230.28.

1238.30 ........................................... 1230.30.

1238.32 ........................................... 1230.10.

Part 1239 Part 138 and Part 1220, 

Subpart C 

1239.1 ............................................. 1220.50.

1239.2.

1239.3 ............................................. ........................................................ Added definition of Inspection. 

1239.4.

1239.10 ........................................... 1238.1.

1239.12 ........................................... 1238.2.

1239.20 ........................................... 1220.5.

1239.22 ........................................... 1220.54 .......................................... Substantive change in policy and procedures for conducting inspections. 

1239.24 ........................................... 1220.56.

1239.26 ........................................... 1220.58 .......................................... Substantive change in policy and procedures. 

List of Subjects in 36 CFR Chapter XII, 

Subchapter B 

Archives and records, Incorporation 

by reference. 

■ For the reasons set forth in the 

preamble, NARA revises Subchapter B 

of chapter XII, title 36, Code of Federal 

Regulations, to read as follows: 

Chapter XII—National Archives and 

Records Administration 

Subchapter B—Records Management 

Part 

1220 Federal Records; General 

1222 Creation and Maintenance of Federal 

Records 

1223 Managing Vital Records 

1224 Records Disposition Program 

1225 Scheduling Records 

1226 Implementing Disposition 

1227 General Records Schedules 

1228 Loan of Permanent and Unscheduled 

Records 

1229 Emergency Authorization To Destroy 

Records 

1230 Unlawful or Accidental Removal, 

Defacing, Alteration, or Destruction of 

Records 

1231 Transfer of Records from the Custody 

of One Executive Agency to Another 

1232 Transfer of Records to Records Storage 

Facilities 

1233 Transfer, Use, and Disposition of 

Records in a NARA Federal Records 

Center 

1234 Facility Standards for Records Storage 

Facilities 

1235 Transfer of Records to the National 

Archives of the United States 

1236 Electronic Records Management 

1237 Audiovisual, Cartographic, and 

Related Records Management 

1238 Microform Records Management 

1239 Program Assistance and Inspections 

1240–1249 [Reserved] 

Subchapter B—Records Management 

PART 1220—FEDERAL RECORDS; 

GENERAL 

Subpart A—General Provisions of 

Subchapter B 

Sec. 

1220.1 What is the scope of Subchapter B? 

1220.2 What are the authorities for 

Subchapter B? 

1220.3 What standards are used as 

guidelines for Subchapter B? 

1220.10 Who is responsible for records 

management? 

1220.12 What are NARA’s records 

management responsibilities? 

1220.14 Who must follow the regulations in 

Subchapter B? 

1220.16 What recorded information must be 

managed in accordance with the 

regulations in Subchapter B? 

1220.18 What definitions apply to the 

regulations in Subchapter B? 

1220.20 What NARA acronyms are used 

throughout Subchapter B? 

Subpart B—Agency Records Management 

Program Responsibilities 

1220.30 What are an agency’s records 

management responsibilities? 

1220.32 What records management 

principles must agencies implement? 

1220.34 What must an agency do to carry 

out its records management 

responsibilities? 

Authority: 44 U.S.C. Chapters 21, 29, 31, 

and 33. 

§ 1220.1 What is the scope of Subchapter 

B? 

Subchapter B specifies policies for 

Federal agencies’ records management 

programs relating to proper records 

creation and maintenance, adequate 

documentation, and records disposition. 

§ 1220.2 What are the authorities for 

Subchapter B? 

The regulations in this subchapter 

implement the provisions of 44 U.S.C. 

Chapters 21, 29, 31, and 33. 

§ 1220.3 What standards are used as 

guidelines for Subchapter B? 

These regulations are in conformance 

with ISO 15489–1:2001, Information 

and documentation—Records 

management. Other standards relating to 

specific sections of the regulations are 

cited where appropriate. 

§ 1220.10 Who is responsible for records 

management? 

(a) The National Archives and 

Records Administration (NARA) is 

responsible for overseeing agencies’ 

adequacy of documentation and records 

disposition programs and practices, and 

the General Services Administration 

(GSA) is responsible for overseeing 

economy and efficiency in records 

management. The Archivist of the 

United States and the Administrator of 

GSA issue regulations and provide 

guidance and assistance to Federal 

agencies on records management 

programs. NARA regulations are in this 

subchapter. GSA regulations are in 41 

CFR parts 102–193. 

(b) Federal agencies are responsible 

for establishing and maintaining a 

records management program that 

complies with NARA and GSA 

regulations and guidance. Subpart B of 

this part sets forth basic agency records 

management requirements. 


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§ 1220.12 What are NARA’s records 

management responsibilities? 

(a) The Archivist of the United States 

issues regulations and provides 

guidance and assistance to Federal 

agencies on ensuring adequate and 

proper documentation of the 

organization, functions, policies, 

decisions, procedures, and essential 

transactions of the Federal Government 

and ensuring proper records 

disposition, including standards for 

improving the management of records. 

(b) NARA establishes standards for 

the retention of records having 

continuing value (permanent records), 

and assists Federal agencies in applying 

the standards to records in their 

custody. 

(c) Through a records scheduling and 

appraisal process, the Archivist of the 

United States determines which Federal 

records have temporary value and may 

be destroyed and which Federal records 

have permanent value and must be 

preserved and transferred to the 

National Archives of the United States. 

The Archivist’s determination 

constitutes mandatory authority for the 

final disposition of all Federal records. 

(d) The Archivist of the United States 

issues General Records Schedules (GRS) 

authorizing disposition, after specified 

periods of time, of records common to 

several or all Federal agencies. 

§ 1220.14 Who must follow the regulations 

in Subchapter B? 

The regulations in Subchapter B 

apply to Federal agencies as defined in 

§ 1220.18. 

§ 1220.16 What recorded information must 

be managed in accordance with the 

regulations in Subchapter B? 

The requirements in Subchapter B 

apply to documentary materials that 

meet the definition of Federal records. 

See also Part 1222 of this subchapter. 

§ 1220.18 What definitions apply to the 

regulations in Subchapter B? 

As used in subchapter B— 

Adequate and proper documentation 

means a record of the conduct of 

Government business that is complete 

and accurate to the extent required to 

document the organization, functions, 

policies, decisions, procedures, and 

essential transactions of the agency and 

that is designed to furnish the 

information necessary to protect the 

legal and financial rights of the 

Government and of persons directly 

affected by the agency’s activities. 

Agency (see Executive agency and 

Federal agency). 

Appraisal is the process by which the 

NARA determines the value and the 

final disposition of Federal records, 

designating them either temporary or 

permanent. 

Commercial records storage facility is 

a private sector commercial facility that 

offers records storage, retrieval, and 

disposition services. 

Comprehensive schedule is an agency 

manual or directive containing 

descriptions of and disposition 

instructions for documentary materials 

in all physical forms, record and 

nonrecord, created by a Federal agency 

or major component of an Executive 

department. Unless taken from General 

Records Schedules (GRS) issued by 

NARA, the disposition instructions for 

records must be approved by NARA on 

one or more Standard Form(s) 115, 

Request for Records Disposition 

Authority, prior to issuance by the 

agency. The disposition instructions for 

nonrecord materials are established by 

the agency and do not require NARA 

approval. See also records schedule. 

Contingent records are records whose 

final disposition is dependent on an 

action or event, such as sale of property 

or destruction of a facility, which will 

take place at some unspecified time in 

the future. 

Disposition means those actions taken 

regarding records no longer needed for 

the conduct of the regular current 

business of the agency. 

Disposition authority means the legal 

authorization for the retention and 

disposal of records. For Federal records 

it is found on SF 115s, Request for 

Records Disposition Authority, which 

have been approved by the Archivist of 

the United States. For nonrecord 

materials, the disposition is established 

by the creating or custodial agency. See 

also records schedule. 

Documentary materials is a collective 

term that refers to recorded information, 

regardless of the medium or the method 

or circumstances of recording. 

Electronic record means any 

information that is recorded in a form 

that only a computer can process and 

that satisfies the definition of a Federal 

record under the Federal Records Act. 

The term includes both record content 

and associated metadata that the agency 

determines is required to meet agency 

business needs. 

Evaluation means the selective or 

comprehensive inspection, audit, or 

review of one or more Federal agency 

records management programs for 

effectiveness and for compliance with 

applicable laws and regulations. It 

includes recommendations for 

correcting or improving records 

management policies and procedures, 

and follow-up activities, including 

reporting on and implementing the 

recommendations. 

Executive agency means any 

executive department or independent 

establishment in the Executive branch 

of the U.S. Government, including any 

wholly owned Government corporation. 

Federal agency means any executive 

agency or any establishment in the 

Legislative or Judicial branches of the 

Government (except the Supreme Court, 

Senate, the House of Representatives, 

and the Architect of the Capitol and any 

activities under his direction). (44 

U.S.C. 2901(14)). 

Federal records (see records). 

File means an arrangement of records. 

The term denotes papers, photographs, 

maps, electronic information, or other 

recorded information regardless of 

physical form or characteristics, 

accumulated or maintained in filing 

equipment, boxes, on electronic media, 

or on shelves, and occupying office or 

storage space. 

Information system means the 

organized collection, processing, 

transmission, and dissemination of 

information in accordance with defined 

procedures, whether automated or 

manual. 

Metadata consists of preserved 

contextual information describing the 

history, tracking, and/or management of 

an electronic document. 

National Archives of the United 

States is the collection of all records 

selected by the Archivist of the United 

States because they have sufficient 

historical or other value to warrant their 

continued preservation by the Federal 

Government and that have been 

transferred to the legal custody of the 

Archivist of the United States, currently 

through execution of a Standard Form 

(SF) 258 (Agreement to Transfer Records 

to the National Archives of the United 

States). See also permanent record. 

Nonrecord materials are those 

Federally owned informational 

materials that do not meet the statutory 

definition of records (44 U.S.C. 3301) or 

that have been excluded from coverage 

by the definition. Excluded materials 

are extra copies of documents kept only 

for reference, stocks of publications and 

processed documents, and library or 

museum materials intended solely for 

reference or exhibit. 

Permanent record means any Federal 

record that has been determined by 

NARA to have sufficient value to 

warrant its preservation in the National 

Archives of the United States, even 

while it remains in agency custody. 

Permanent records are those for which 

the disposition is permanent on SF 115, 

Request for Records Disposition 

Authority, approved by NARA on or 

after May 14, 1973. The term also 

includes all records accessioned by 


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NARA into the National Archives of the 

United States. 

Personal files (also called personal 

papers) are documentary materials 

belonging to an individual that are not 

used to conduct agency business. 

Personal files are excluded from the 

definition of Federal records and are not 

owned by the Government. 

Recordkeeping requirements means 

all statements in statutes, regulations, 

and agency directives or other 

authoritative issuances, that provide 

general or specific requirements for 

Federal agency personnel on particular 

records to be created and maintained by 

the agency. 

Recordkeeping system is a manual or 

electronic system that captures, 

organizes, and categorizes records to 

facilitate their preservation, retrieval, 

use, and disposition. 

Records or Federal records is defined 

in 44 U.S.C. 3301 as including ‘‘all 

books, papers, maps, photographs, 

machine readable materials, or other 

documentary materials, regardless of 

physical form or characteristics, made 

or received by an agency of the United 

States Government under Federal law or 

in connection with the transaction of 

public business and preserved or 

appropriate for preservation by that 

agency or its legitimate successor as 

evidence of the organization, functions, 

policies, decisions, procedures, 

operations or other activities of the 

Government or because of the 

informational value of the data in them 

(44 U.S.C. 3301).’’ (See also § 1222.10 of 

this part for an explanation of this 

definition). 

Records center is defined in 44 U.S.C. 

2901(6) as an establishment maintained 

and operated by the Archivist (NARA 

Federal Records Center) or by another 

Federal agency primarily for the storage, 

servicing, security, and processing of 

records which need to be preserved for 

varying periods of time and need not be 

retained in office equipment or space. 

See also records storage facility. 

Records management, as used in 

subchapter B, means the planning, 

controlling, directing, organizing, 

training, promoting, and other 

managerial activities involved with 

respect to records creation, records 

maintenance and use, and records 

disposition in order to achieve adequate 

and proper documentation of the 

policies and transactions of the Federal 

Government and effective and 

economical management of agency 

operations. 

Records schedule or schedule means 

any of the following: 

(1) A Standard Form 115, Request for 

Records Disposition Authority that has 

been approved by NARA to authorize 

the disposition of Federal records; 

(2) A General Records Schedule (GRS) 

issued by NARA; or 

(3) A published agency manual or 

directive containing the records 

descriptions and disposition 

instructions approved by NARA on one 

or more SF 115s or issued by NARA in 

the GRS. See also comprehensive 

schedule. 

Records storage facility is a records 

center or a commercial records storage 

facility, as defined in this section, i.e., 

a facility used by a Federal agency to 

store Federal records, whether that 

facility is operated and maintained by 

the agency, by NARA, by another 

Federal agency, or by a private 

commercial entity. 

Retention period is the length of time 

that records must be kept. 

Series means file units or documents 

arranged according to a filing or 

classification system or kept together 

because they relate to a particular 

subject or function, result from the same 

activity, document a specific kind of 

transaction, take a particular physical 

form, or have some other relationship 

arising out of their creation, receipt, or 

use, such as restrictions on access and 

use. Also called a records series. 

Temporary record means any Federal 

record that has been determined by the 

Archivist of the United States to have 

insufficient value (on the basis of 

current standards) to warrant its 

preservation by the National Archives 

and Records Administration. This 

determination may take the form of: 

(1) Records designated as disposable 

in an agency records disposition 

schedule approved by NARA (SF 115, 

Request for Records Disposition 

Authority); or 

(2) Records designated as disposable 

in a General Records Schedule. 

Unscheduled records are Federal 

records whose final disposition has not 

been approved by NARA on a SF 115, 

Request for Records Disposition 

Authority. Such records must be treated 

as permanent until a final disposition is 

approved. 

§ 1220.20 What NARA acronyms are used 

throughout Subchapter B? 

As used in Subchapter B— 

NARA means the National Archives 

and Records Administration. 

NAS means the Space and Security 

Management Division. 

NR means the Office of Regional 

Record Services. 

NWCS means the Special Media 

Archives Services Division. 

NWM means Modern Records 

Programs, which includes NARA 

records management staff nationwide. 

NWME means the Electronic and 

Special Media Records Services 

Division. 

NWML means the Lifecycle 

Management Division. 

NWMW means the Washington 

National Records Center. 

NWT means Preservation Programs. 

Subpart B—Agency Records 

Management Responsibilities 

§ 1220.30 What are an agency’s records 

management responsibilities? 

(a) Under 44 U.S.C. 3101, the head of 

each Federal agency must make and 

preserve records containing adequate 

and proper documentation of the 

organization, functions, policies, 

decisions, procedures, and essential 

transactions of the agency. These 

records must be designed to furnish the 

information necessary to protect the 

legal and financial rights of the 

Government and of persons directly 

affected by the agency’s activities. 

(b) Under 44 U.S.C. 3102, the head of 

each Federal agency must establish and 

maintain an active, continuing program 

for the economical and efficient 

management of the records of the 

agency. 

(c) Agency records management 

programs must provide for: 

(1) Effective controls over the 

creation, maintenance, and use of 

records in the conduct of current 

business; and 

(2) Cooperation with the Archivist 

and the Administrator of GSA in 

applying standards, procedures, and 

techniques designed to improve the 

management of records, promote the 

maintenance and security of records 

deemed appropriate for preservation, 

and facilitate the segregation and 

destruction of records of temporary 

value. 

§ 1220.32 What records management 

principles must agencies implement? 

Agencies must create and maintain 

authentic, reliable, and usable records 

and ensure that they remain so for the 

length of their authorized retention 

period. A comprehensive records 

management program provides policies 

and procedures for ensuring that: 

(a) Records documenting agency 

business are created or captured; 

(b) Records are organized and 

maintained to facilitate their use and 

ensure integrity throughout their 

authorized retention periods; 

(c) Records are available when 

needed, where needed, and in a usable 

format to conduct agency business; 

(d) Legal and regulatory requirements, 

relevant standards, and agency policies 

are followed; 


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(e) Records, regardless of format, are 

protected in a safe and secure 

environment and removal or destruction 

is carried out only as authorized in 

records schedules; and 

(f) Continuity of operations is 

supported by a vital records program 

(see part 1223 of this subchapter). 

§ 1220.34 What must an agency do to 

carry out its records management 

responsibilities? 

To carry out the responsibilities 

specified in 44 U.S.C. 3101 and 3102, 

agencies must: 

(a) Assign records management 

responsibility to a person and office 

with appropriate authority within the 

agency to coordinate and oversee 

implementation of the agency 

comprehensive records management 

program principles in § 1220.32; 

(b) Advise NARA and agency 

managers of the name(s) of the 

individual(s) assigned operational 

responsibility for the agency records 

management program. To notify NARA, 

send the name(s), e-mail and postal 

addresses, phone and fax numbers of 

the individual(s) to NARA (NWM), 8601 

Adelphi Road, College Park, MD 20740– 

6001 or to 

RM.Communications@nara.gov. The 

name, title, and phone number of the 

official or officials authorized by the 

head of the agency to sign records 

disposition schedules and requests for 

transfer of records to the custody of the 

National Archives must also be 

submitted to NARA (NWM) or 

RM.Communications@nara.gov; 

(c) Issue a directive(s) establishing 

program objectives, responsibilities, and 

authorities for the creation, 

maintenance, and disposition of agency 

records. Copies of the directive(s) 

(including subsequent amendments or 

supplements) must be disseminated 

throughout the agency, as appropriate, 

and a copy must be sent to NARA 

(NWM); 

(d) Assign records management 

responsibilities in each program 

(mission) and administrative area to 

ensure incorporation of recordkeeping 

requirements and records maintenance, 

storage, and disposition practices into 

agency programs, processes, systems, 

and procedures; 

(e) Integrate records management and 

archival requirements into the design, 

development, and implementation of 

electronic information systems as 

specified in § 1236.12 of this 

subchapter; 

(f) Provide guidance and training to 

all agency personnel on their records 

management responsibilities, including 

identification of Federal records, in all 

formats and media; 

(g) Develop records schedules for all 

records created and received by the 

agency and obtain NARA approval of 

the schedules prior to implementation, 

in accordance with 36 CFR parts 1225 

and 1226 of this subchapter; 

(h) Comply with applicable policies, 

procedures, and standards relating to 

records management and recordkeeping 

requirements issued by the Office of 

Management and Budget, NARA, GSA, 

or other agencies, as appropriate (see 

§ 1222.22 of this subchapter); 

(i) Institute controls ensuring that all 

records, regardless of format or medium, 

are properly organized, classified or 

indexed, and described, and made 

available for use by all appropriate 

agency staff; and 

(j) Conduct formal evaluations to 

measure the effectiveness of records 

management programs and practices, 

and to ensure that they comply with 

NARA regulations in this subchapter. 

PART 1222—CREATION AND 

MAINTENANCE OF FEDERAL 

RECORDS 

Subpart A—Identifying Federal Records 

Sec. 

1222.1 What are the authorities for Part 

1222? 

1222.2 What definitions apply to this part? 

1222.3 What standards are used as guidance 

for this part? 

1222.10 How should agencies apply the 

statutory definition of Federal records? 

1222.12 What types of documentary 

materials are Federal records? 

1222.14 What are nonrecord materials? 

1222.16 How are nonrecord materials 

managed? 

1222.18 Under what conditions may 

nonrecord materials be removed from 

government agencies? 

1222.20 How are personal files defined and 

managed? 

Subpart B—Agency Recordkeeping 

Requirements 

1222.22 What records are required to 

provide for adequate documentation of 

agency business? 

1222.24 How do agencies establish 

recordkeeping requirements? 

1222.26 What are the general recordkeeping 

requirements for agency programs? 

1222.28 What are the series level 

recordkeeping requirements? 

1222.30 When must agencies comply with 

the recordkeeping requirements of other 

agencies? 

1222.32 How do agencies manage data and 

records created or received by 

contractors? 

1222.34 How must agencies maintain 

records? 

Authority: 44 U.S.C. 2904, 3101, 3102, and 

3301. 

Subpart A—Identifying Federal 

Records 

§ 1222.1 What are the authorities for Part 

1222? 

The statutory authorities for this part 

are 44 U.S.C. 2904, 3101, 3102, and 

3301. 

§ 1222.2 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used in part 1222. 

§ 1222.3 What standards are used as 

guidance for this part? 

These regulations conform with 

guidance provided in ISO 15489– 

1:2001, Information and 

documentation—Records management. 

Paragraphs 7.1 (Principles of records 

management programmes), 7.2 

(Characteristics of a record), 8.3.5 

(Conversion and migration), 8.3.6 

(Access, retrieval and use), and 9.6 

(Storage and handling) apply to records 

creation and maintenance. 

§ 1222.10 How should agencies apply the 

statutory definition of Federal records? 

(a) The statutory definition of Federal 

records is contained in 44 U.S.C. 3301 

and provided in § 1220.18 of this 

subchapter. 

(b) Several key terms, phrases, and 

concepts in the statutory definition of a 

Federal record are further explained as 

follows: 

(1) Documentary materials has the 

meaning provided in § 1220.18 of this 

subchapter. 

(2) Regardless of physical form or 

characteristics means that the medium 

may be paper, film, disk, or other 

physical type or form; and that the 

method of recording may be manual, 

mechanical, photographic, electronic, or 

any other combination of these or other 

technologies. 

(3) Made means the act of creating 

and recording information by agency 

personnel in the course of their official 

duties, regardless of the method(s) or 

the medium involved. 

(4) Received means the acceptance or 

collection of documentary materials by 

or on behalf of an agency or agency 

personnel in the course of their official 

duties regardless of their origin (for 

example, other units of their agency, 

private citizens, public officials, other 

agencies, contractors, Government 

grantees) and regardless of how 

transmitted (in person or by messenger, 

mail, electronic means, or by any other 

method). In this context, the term does 

not refer to misdirected materials. It 

may or may not refer to loaned or seized 

materials depending on the conditions 

under which such materials came into 


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agency custody or were used by the 

agency. Advice of legal counsel should 

be sought regarding the ‘‘record’’ status 

of loaned or seized materials. 

(5) Preserved means the filing, storing, 

or any other method of systematically 

maintaining documentary materials in 

any medium by the agency. This term 

covers materials not only actually filed 

or otherwise systematically maintained 

but also those temporarily removed 

from existing filing systems. 

(6) Appropriate for preservation 

means documentary materials made or 

received which, in the judgment of the 

agency, should be filed, stored, or 

otherwise systematically maintained by 

an agency because of the evidence of 

agency activities or information they 

contain, even if the materials are not 

covered by its current filing or 

maintenance procedures. 

§ 1222.12 What types of documentary 

materials are Federal records? 

(a) General. To ensure that complete 

and accurate records are made and 

retained in the Federal Government, 

agencies must distinguish between 

records and nonrecord materials by 

applying the definition of records (see 

44 U.S.C. 3301 and 36 CFR 1220.18 and 

1222.10 of this subchapter) to agency 

documentary materials in all formats 

and media. 

(b) Record status. Documentary 

materials are records when they meet 

the conditions specified in § 1222.10(b). 

(c) Working files and similar 

materials. Working files, such as 

preliminary drafts and rough notes, and 

other similar materials, are records that 

must be maintained to ensure adequate 

and proper documentation if: 

(1) They were circulated or made 

available to employees, other than the 

creator, for official purposes such as 

approval, comment, action, 

recommendation, follow-up, or to 

communicate with agency staff about 

agency business; and 

(2) They contain unique information, 

such as substantive annotations or 

comments that adds to a proper 

understanding of the agency’s 

formulation and execution of basic 

policies, decisions, actions, or 

responsibilities. 

(d) Record status of copies. The 

determination as to whether a particular 

document is a record does not depend 

upon whether it contains unique 

information. Multiple copies of the 

same document and documents 

containing duplicative information may 

each have record status depending on 

how they are used in conducting agency 

business. 

§ 1222.14 What are nonrecord materials? 

Nonrecord materials are U.S. 

Government-owned documentary 

materials that do not meet the 

conditions of records status (see 

§ 1222.12(b)) or that are specifically 

excluded from the statutory definition 

of records (see 44 U.S.C. 3301). An 

agency’s records management program 

also needs to include managing 

nonrecord materials. There are three 

specific categories of materials excluded 

from the statutory definition of records: 

(a) Library and museum material (but 

only if such material is made or 

acquired and preserved solely for 

reference or exhibition purposes), 

including physical exhibits, artifacts, 

and other material objects lacking 

evidential value. 

(b) Extra copies of documents (but 

only if the sole reason such copies are 

preserved is for convenience of 

reference). 

(c) Stocks of publications and of 

processed documents. Catalogs, trade 

journals, and other publications that are 

received from other Government 

agencies, commercial firms, or private 

institutions and that require no action 

and are not part of a case on which 

action is taken. (Stocks do not include 

serial or record sets of agency 

publications and processed documents, 

including annual reports, brochures, 

pamphlets, books, handbooks, posters 

and maps.) 

§ 1222.16 How are nonrecord materials 

managed? 

(a) Agencies must develop 

recordkeeping requirements to 

distinguish records from nonrecord 

materials. 

(b) The following guidelines should 

be used in managing nonrecord 

materials: 

(1) If a clear determination cannot be 

made, the materials should be treated as 

records. Agencies may consult with 

NARA for guidance. 

(2) Nonrecord materials must be 

physically segregated from records or, 

for electronic non-record materials, 

readily identified and segregable from 

records; 

(3) Nonrecord materials should be 

purged when no longer needed for 

reference. NARA’s approval is not 

required to destroy such materials. 

§ 1222.18 Under what conditions may 

nonrecord materials be removed from 

Government agencies? 

(a) Nonrecord materials, including 

extra copies of unclassified or formally 

declassified agency records kept only 

for convenience of reference, may be 

removed by departing employees from 

Government agency custody only with 

the approval of the head of the agency 

or the individual(s) authorized to act for 

the agency on records issues. 

(b) National security classified 

information may not be removed from 

Government custody, except for a 

removal of custody taken in accordance 

with the requirements of the National 

Industrial Security Program established 

under Executive Order 12829, as 

amended, or a successor Order. 

(c) Information which is restricted 

from release under the Privacy Act of 

1974 (5 U.S.C. 552a), as amended, or 

other statutes may not be removed from 

Government custody except as 

permitted under those statutes. 

(d) This section does not apply to use 

of records and nonrecord materials in 

the course of conducting official agency 

business, including telework and 

authorized dissemination of 

information. 

§ 1222.20 How are personal files defined 

and managed? 

(a) Personal files are defined in 

§ 1220.18 of this subchapter. This 

section does not apply to agencies and 

positions that are covered by the 

Presidential Records Act of 1978 (44 

U.S.C. 2201–2207) (see 36 CFR part 

1270 of this chapter). 

(b) Personal files must be clearly 

designated as such and must be 

maintained separately from the office’s 

official records. 

(1) Information about private (nonagency) matters and agency business 

must not be mixed in outgoing agency 

documents, such as correspondence and 

messages. 

(2) If information about private 

matters and agency business appears in 

a received document, the document is a 

Federal record. Agencies may make a 

copy of the document with the personal 

information deleted or redacted, and 

treat the copy as the Federal record. 

(3) Materials labeled ‘‘personal,’’ 

‘‘confidential,’’ or ‘‘private,’’ or similarly 

designated, and used in the transaction 

of public business, are Federal records. 

The use of a label such as ‘‘personal’’ 

does not affect the status of 

documentary materials in a Federal 

agency. 

Subpart B—Agency Recordkeeping 

Requirements 

§ 1222.22 What records are required to 

provide for adequate documentation of 

agency business? 

To meet their obligation for adequate 

and proper documentation, agencies 

must prescribe the creation and 

maintenance of records that: 


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(a) Document the persons, places, 

things, or matters dealt with by the 

agency. 

(b) Facilitate action by agency officials 

and their successors in office. 

(c) Make possible a proper scrutiny by 

the Congress or other duly authorized 

agencies of the Government. 

(d) Protect the financial, legal, and 

other rights of the Government and of 

persons directly affected by the 

Government’s actions. 

(e) Document the formulation and 

execution of basic policies and 

decisions and the taking of necessary 

actions, including all substantive 

decisions and commitments reached 

orally (person-to-person, by 

telecommunications, or in conference) 

or electronically. 

(f) Document important board, 

committee, or staff meetings. 

§ 1222.24 How do agencies establish 

recordkeeping requirements? 

(a) Agencies must ensure that 

procedures, directives and other 

issuances; systems planning and 

development documentation; and other 

relevant records include recordkeeping 

requirements for records in all media, 

including those records created or 

received on electronic mail systems. 

Recordkeeping requirements must: 

(1) Identify and prescribe specific 

categories of records to be 

systematically created or received and 

maintained by agency personnel in the 

course of their official duties; 

(2) Specify the use of materials and 

recording techniques that ensure the 

preservation of records as long as they 

are needed by the Government; 

(3) Specify the manner in which these 

materials must be maintained wherever 

held; 

(4) Propose how long records must be 

maintained for agency business through 

the scheduling process in part 1225 of 

this subchapter; 

(5) Distinguish records from 

nonrecord materials and comply with 

the provisions in Subchapter B 

concerning records scheduling and 

disposition; 

(6) Include procedures to ensure that 

departing officials and employees do 

not remove Federal records from agency 

custody and remove nonrecord 

materials only in accordance with 

§ 1222.18; 

(7) Define the special recordkeeping 

responsibilities of program managers, 

information technology staff, systems 

administrators, and the general 

recordkeeping responsibilities of all 

agency employees. 

(b) Agencies must provide the training 

described in § 1220.34(f) of this 

subchapter and inform all employees 

that they are responsible and 

accountable for keeping accurate and 

complete records of their activities. 

§ 1222.26 What are the general 

recordkeeping requirements for agency 

programs? 

To ensure the adequate and proper 

documentation of agency programs, 

each program must develop 

recordkeeping requirements that 

identify: 

(a) The record series and systems that 

must be created and maintained to 

document program policies, procedures, 

functions, activities, and transactions; 

(b) The office responsible for 

maintaining the record copies of those 

series and systems, and the applicable 

system administrator responsible for 

ensuring authenticity, protection, and 

ready retrieval of electronic records; 

(c) Related records series and systems; 

(d) The relationship between paper 

and electronic files in the same series; 

and 

(e) Policies, procedures, and strategies 

for ensuring that records are retained 

long enough to meet programmatic, 

administrative, fiscal, legal, and 

historical needs as authorized in a 

NARA-approved disposition schedule. 

§ 1222.28 What are the series level 

recordkeeping requirements? 

To ensure that record series and 

systems adequately document agency 

policies, transactions, and activities, 

each program must develop 

recordkeeping requirements for records 

series and systems that include: 

(a) Identification of information and 

documentation that must be included in 

the series and/or system; 

(b) Arrangement of each series and the 

records within the series and/or system; 

(c) Identification of the location of the 

records and the staff responsible for 

maintaining the records; 

(d) Policies and procedures for 

maintaining the documentation of 

phone calls, meetings, instant messages, 

and electronic mail exchanges that 

include substantive information about 

agency policies and activities; 

(e) Policies and procedures for 

identifying working files and for 

determining the record status of 

working files in paper and electronic 

form; and 

(f) Policies and procedures for 

maintaining series consisting of 

different media. 

§ 1222.30 When must agencies comply 

with the recordkeeping requirements of 

other agencies? 

Agencies must comply with 

recordkeeping requirements that are 

imposed government-wide by another 

agency with jurisdiction over the 

program or activity being conducted, 

e.g., requirements for records 

concerning hazardous waste. Affected 

agencies must include these 

requirements in appropriate directives 

or other official issuances prescribing 

the agency’s organization, functions, or 

activities. 

§ 1222.32 How do agencies manage 

records created or received by contractors? 

(a) Agency officials responsible for 

administering contracts must safeguard 

records created, processed, or in the 

possession of a contractor or a nonFederal entity by taking the following 

steps: 

(1) Agencies must ensure that 

contractors performing Federal 

government agency functions create and 

maintain records that document these 

activities. Agencies must specify in the 

contract Government ownership and the 

delivery to the Government of all 

records necessary for the adequate and 

proper documentation of contractoroperated agency activities and programs 

in accordance with requirements of the 

Federal Acquisition Regulation (FAR) 

(Office of Federal Procurement Policy 

Act of 1974 (Pub. L. 93–400), as 

amended by Pub. L. 96–83 41 U.S.C.), 

and, where applicable, the Defense 

Federal Acquisition Regulation 

Supplement (DFARS) (48 CFR parts 

200–299). 

(2) Records management oversight of 

contract records is necessary to ensure 

that all recordkeeping needs are met. All 

records created for Government use and 

delivered to, or under the legal control 

of, the Government must be managed in 

accordance with Federal law. In 

addition, electronic records and 

background electronic data specified for 

delivery to the contracting agency must 

be accompanied by sufficient technical 

documentation to permit understanding 

and use of the records and data. 

(3) Contracts that require the creation 

of data for the Government’s use must 

specify, in addition to the final product, 

delivery of background supporting data 

or other records that may have reuse 

value to the Government. To determine 

what background supporting data or 

other records that contractors must 

deliver, program and contracting 

officials must consult with agency 

records and information managers and 

historians and, when appropriate, with 

other Government agencies to ensure 

that all Government needs are met, 

especially when the data deliverables 

support a new agency mission or a new 

Government program. 


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(4) Deferred ordering and delivery-ofdata clauses and rights-in-data clauses 

must be included in contracts whenever 

necessary to ensure adequate and proper 

documentation or because the data have 

reuse value to the Government. 

(b) All data created for Government 

use and delivered to, or falling under 

the legal control of, the Government are 

Federal records subject to the provisions 

of 44 U.S.C. chapters 21, 29, 31, and 33, 

the Freedom of Information Act (FOIA) 

(5 U.S.C. 552), as amended, and the 

Privacy Act of 1974 (5 U.S.C. 552a), as 

amended, and must be managed and 

scheduled for disposition only as 

provided in Subchapter B. 

(c) Agencies must ensure that 

appropriate authority for retention of 

classified materials has been granted to 

contractors or non-Government entities 

participating in the National Industrial 

Security Program (NISP), established 

under Executive order 12829, as 

amended, or a successor Order. 

§ 1222.34 How must agencies maintain 

records? 

Agencies must implement a records 

maintenance program so that complete 

records are filed or otherwise identified 

and preserved, records can be readily 

found when needed, and permanent and 

temporary records are physically 

segregated from each other or, for 

electronic records, segregable. Agency 

records maintenance programs must: 

(a) Institute procedures for organizing 

and storing records; 

(b) Maintain electronic, audiovisual 

and cartographic, and microform 

records in accordance with 36 CFR parts 

1236, 1237, and 1238 of this subchapter, 

respectively; 

(c) Assign responsibilities for 

maintenance of records in all formats 

within each agency component, 

including designation of the officials 

that are responsible for maintenance 

and disposition of electronic records 

and management of automated systems 

used for recordkeeping; 

(d) Institute reference and retrieval 

procedures and controls that: 

(1) Facilitate the finding, charging out, 

and refiling of records, including 

safeguards against loss during transit; 

and 

(2) Ensure that access to electronic 

records minimizes the risk of 

unauthorized additions, deletions, or 

alterations; 

(e) Issue appropriate instructions to 

all agency employees on handling and 

protecting records; 

(f) Maintain records and nonrecord 

materials separately, in accordance with 

§ 1222.16; 

(g) Maintain personal files separately 

from records in accordance with 

§ 1222.20; and 

(h) Comply with 36 CFR parts 1232 

and 1234 of this subchapter when 

storing records in a records facility. 

PART 1223—MANAGING VITAL 

RECORDS 

Sec. 

1223.1 What are the authorities for Part 

1223? 

1223.2 What definitions apply to this part? 

1223.3 What standards are used as 

guidance for Part 1223? 

1223.4 What publications are incorporated 

by reference in this part? 

1223.10 What is the purpose of Part 1223? 

1223.12 What are the objectives of a vital 

records program? 

1223.14 What elements must a vital 

records program include? 

1223.16 How are vital records identified? 

1223.18 Must vital records be in a 

particular form or format? 

1223.20 What are the requirements for 

accessing vital records during an 

emergency? 

1223.22 How must agencies protect vital 

records? 

1223.24 When can vital records be 

destroyed? 

Authority: 44 U.S.C. 3101; E.O. 12656, 53 

FR 47491; E.O. 13231, 66 FR 53063. 

§ 1223.1 What are the authorities for Part 

1223? 

(a) The authorities for this part are 44 

U.S.C. 3101; Executive Orders 12656, 

Assignment of Emergency Preparedness 

Responsibilities, and 13231, Critical 

Infrastructure Protection in the 

Information Age; and National Security 

Presidential Directive (NSPD 51)/ 

Homeland Security Presidential 

Directive (HSPD–20) or applicable 

successor directives. These authorities 

require the head of each agency to make 

and preserve records that contain 

adequate and proper documentation of 

the organization and to perform national 

security emergency preparedness 

functions. 

(b) These regulations are in 

conformance with guidance provided in 

Federal Continuity Directive (FCD) 1, 

Federal Executive Branch National 

Continuity Program and Requirements, 

and FCD 2, Federal Executive Branch 

Mission Essential Function and Primary 

Mission Essential Function 

Identification and Submission Process. 

§ 1223.2 What definitions apply to this 

part? 

(a) See § 1220.18 of this subchapter 

for definitions of terms used throughout 

Subchapter B, including part 1223. 

(b) As used in part 1223— 

Cycle means the periodic removal of 

obsolete copies of vital records and their 

replacement with copies of current vital 

records. This may occur daily, weekly, 

quarterly, annually or at other 

designated intervals. 

Disaster means an unexpected 

occurrence inflicting widespread 

destruction and distress and having 

long-term adverse effects on agency 

operations. Each agency defines what a 

long-term adverse effect is in relation to 

its most critical program activities. 

Emergency means a situation or an 

occurrence of a serious nature, 

developing suddenly and unexpectedly, 

and demanding immediate action. This 

is generally of short duration, for 

example, an interruption of normal 

agency operations for a week or less. It 

may involve electrical failure or minor 

flooding caused by broken pipes. 

Emergency operating records are 

those types of vital records essential to 

the continued functioning or 

reconstitution of an organization during 

and after an emergency. Included are 

emergency plans and directive(s), orders 

of succession, delegations of authority, 

staffing assignments, selected program 

records needed to continue the most 

critical agency operations, as well as 

related policy or procedural records that 

assist agency staff in conducting 

operations under emergency conditions 

and for resuming normal operations 

after an emergency. 

Legal and financial rights records are 

that type of vital records essential to 

protect the legal and financial rights of 

the Government and of the individuals 

directly affected by its activities. 

Examples include accounts receivable 

records, social security records, payroll 

records, retirement records, and 

insurance records. These records were 

formerly defined as ‘‘rights-andinterests’’ records. 

National security emergency means 

any occurrence, including natural 

disaster, military attack, technological 

emergency, or other emergency, that 

seriously degrades or threatens the 

national security of the United States, as 

defined in Executive Order 12656. 

Off-site storage means a facility other 

than an agency’s normal place of 

business where records are kept until 

eligible for final disposition. Vital 

records may be kept at off-site storage to 

ensure that they are not damaged or 

destroyed should an emergency occur in 

an agency’s normal place of business. 

Vital records means essential agency 

records that are needed to meet 

operational responsibilities under 

national security emergencies or other 

emergency conditions (emergency 

operating records) or to protect the legal 

and financial rights of the Government 

and those affected by Government 


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activities (legal and financial rights 

records). 

Vital records program means the 

policies, plans, and procedures 

developed and implemented and the 

resources needed to identify, use, and 

protect the essential records needed to 

meet operational responsibilities under 

national security emergencies or other 

emergency conditions or to protect the 

Government’s rights or those of its 

citizens. This is a program element of an 

agency’s emergency management 

function. 

§ 1223.3 What standards are used as 

guidance for Part 1223? 

These regulations conform with 

guidance provided in ISO 15489– 

1:2001. Paragraphs 4 (Benefits of records 

management), Paragraphs 7.1 

(Principles of records management 

programmes) and 9.6 (Storage and 

handling) apply to vital records. 

§ 1223.4 What publications are 

incorporated by reference in this part? 

(a) Certain material is incorporated by 

reference into this part with the 

approval of the Director of the Federal 

Register under 5 U.S.C. 552(a) and 1 

CFR part 51. To enforce any edition 

other than that specified in this section, 

NARA must publish notice of change in 

the Federal Register and the material 

must be available to the public. All 

approved material is available for 

inspection at the Office of the Federal 

Register. For information on the 

availability of this material at the Office 

of the Federal Register, call 202–741– 

6030 or go to http://www.archives.gov/ 

federal_register/ 

code_of_federal_regulations/ 

ibr_locations.html. 

(b) The material incorporated by 

reference is also available for inspection 

at NARA’s Archives Library Information 

Center (NWCCA), Room 2380, 8601 

Adelphi Road, College Park, MD 20740– 

6001, phone number (301) 837–3415, 

and is available from the sources listed 

below. 

(c) The following Web publication is 

available on-line at http:// 

www.fema.gov/pdf/about/offices/ 

fcd1.pdf; it is published by the 

Department of Homeland Security 

(DHS), 245 Murray Lane, Washington, 

DC, 20528, phone number, (202) 245– 

2499. 

(1) Federal Continuity Directive 1 

(‘‘FCD 1’’): Federal Executive Branch 

National Continuity Program and 

Requirements, February 2008, IBR 

approved for § 1223.14. 

(2) [Reserved] 

§ 1223.10 What is the purpose of Part 

1223? 

Part 1223 specifies policies and 

procedures needed to establish a 

program to identify, protect, and 

manage vital records as part of an 

agency’s continuity of operation plan 

designed to meet emergency 

management responsibilities. 

§ 1223.12 What are the objectives of a vital 

records program? 

A vital records program has two 

objectives: 

(a) It provides an agency with the 

information it needs to conduct its 

business under other than normal 

operating conditions and to resume 

normal business afterward; and 

(b) It enables agency officials to 

identify and protect the most important 

records dealing with the legal and 

financial rights of the agency and of 

persons directly affected by the agency’s 

actions. 

§ 1223.14 What elements must a vital 

records program include? 

To achieve compliance with this 

section, an agency’s vital records 

program must contain all elements 

listed in FCD 1, Annex I (incorporated 

by reference, see § 1223.4). In carrying 

out a vital records program, agencies 

must: 

(a) Specify agency staff 

responsibilities; 

(b) Appropriately inform all staff 

about vital records; 

(c) Ensure that the designation of vital 

records is current and complete; and 

(d) Ensure that vital records are 

adequately protected, accessible, and 

immediately usable. 

§ 1223.16 How are vital records identified? 

Agencies identify vital records in the 

context of the emergency management 

function. Vital records are those that are 

needed to perform the most critical 

functions of the agency and those 

needed to protect legal and financial 

rights of the Government and of the 

persons affected by its actions. Vital 

records also include emergency plans 

and related records that specify how an 

agency will respond to an emergency. 

The informational content of records 

series and electronic records systems 

determines which are vital records. 

Only the most recent and complete 

sources of the information are vital 

records. 

§ 1223.18 Must vital records be in a 

particular form or format? 

(a) Vital records can be original 

records or copies of records. Consult 

NARA records management guidance on 

vital records at http://www.archives.gov/ 

records-mgmt/vital-records/index.html 

for further information. 

(b) Records may be maintained on a 

variety of media including paper, 

magnetic tape, optical disk, 

photographic film, and microform. In 

selecting the media, agencies must 

ensure that equipment needed to read 

the specific media will be available 

following an emergency or disaster. 

§ 1223.20 What are the requirements for 

accessing vital records during an 

emergency? 

Agencies must establish retrieval 

procedures for vital records that are 

easily implemented, especially since 

individuals unfamiliar with the records 

may need to use them in an emergency. 

For electronic records systems, agencies 

must also ensure that appropriate 

hardware, software, and system 

documentation adequate to operate the 

system and access the records will be 

available in case of an emergency. 

§ 1223.22 How must agencies protect vital 

records? 

Agencies must take appropriate 

measures to ensure the survival of the 

vital records or copies of vital records in 

case of an emergency. 

(a) Duplication. Agencies may choose 

to duplicate vital records as the primary 

protection method. Duplication can be 

to the same medium as the original 

record or to a different medium. When 

agencies choose duplication as a 

protection method, the copy of the vital 

record stored off-site is normally a 

duplicate of the original record. The 

agency may store the original records 

off-site if their protection is necessary, 

or if it does not need to keep the original 

records at its normal place of business. 

(b) Dispersal. Once records are 

duplicated, they must be dispersed to 

sites a sufficient distance away to avoid 

being subject to the same emergency. 

Dispersal sites may be other office 

locations of the same agency or some 

other site. 

(c) Storage considerations. Copies of 

emergency operating vital records must 

be accessible in a very short period of 

time for use in the event of an 

emergency. Copies of legal and financial 

rights records may not be needed as 

quickly. In deciding where to store vital 

record copies, agencies must treat 

records that have the properties of both 

categories, that is, emergency operating 

and legal and financial rights records, as 

emergency operating records. 

(1) The off-site copy of legal and 

financial rights vital records may be 

stored at an off-site agency location or, 

in accordance with § 1233.12 of this 

subchapter, at a records storage facility. 


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(2) When using a NARA records 

storage facility for storing vital records 

that are duplicate copies of original 

records, the agency must specify on the 

SF 135, Records Transmittal and 

Receipt, that they are vital records 

(duplicate copies) and the medium on 

which they are maintained. The agency 

must also periodically cycle (update) 

them by removing obsolete items and 

replacing them with the most recent 

version. 

§ 1223.24 When can vital records be 

destroyed? 

The disposition of vital records that 

are original records is governed by 

records schedules approved by NARA 

(see part 1225, Scheduling Records, of 

this subchapter). Agencies must not 

destroy original records that are not 

scheduled. Duplicate copies created and 

maintained for vital records purposes 

only may be destroyed when 

superseded or obsolete during the 

routine vital records cycle process. 

PART 1224—RECORDS DISPOSITION 

PROGRAMS 

Sec. 

1224.1 What are the authorities for Part 

1224? 

1224.2 What definitions apply to this part? 

1224.3 What standards are used as 

guidance for this part? 

1224.10 What must agencies do to 

implement an effective records 

disposition program? 

Authority: 44 U.S.C. 2111, 2904, 3102, and 

3301. 

§ 1224.1 What are the authorities for Part 

1224? 

The statutory authorities for this part 

are 44 U.S.C. 2111, 2904, 3102, and 

3301. 

§ 1224.2 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used in part 1224. 

§ 1224.3 What standards are used as 

guidance for this part? 

These regulations conform with 

guidance provided in ISO 15489– 

1:2001, Information and 

documentation—Records management. 

Paragraphs 7.1 (Principles of records 

management programmes), 8.3.7 

(Retention and disposition), 8.5 

(Discontinuing records systems), and 9.9 

(Implementing disposition) apply to 

records disposition. 

§ 1224.10 What must agencies do to 

implement an effective records disposition 

program? 

In order to properly implement the 

provisions of §§ 1220.30(c)(2), 

1220.32(e), and 1220.34(c), (f), and (g) of 

this subchapter agencies must: 

(a) Ensure that all records are 

scheduled in accordance with part 1225 

of this subchapter, schedules are 

implemented in accordance with part 

1226 of this subchapter, and permanent 

records are transferred to the National 

Archives of the United States. 

(b) Promptly disseminate and 

implement NARA-approved agency 

schedules and additions and changes to 

the General Records Schedules (GRS) in 

accordance with § 1226.12(a) of this 

subchapter. 

(c) Regularly review agency-generated 

schedules, and, if necessary, update 

them. 

(d) Incorporate records retention and 

disposition functionality during the 

design, development, and 

implementation of new or revised 

recordkeeping systems (whether paper 

or electronic). See § 1236.6 of this 

subchapter. 

(e) Provide training and guidance to 

all employees on agency records 

disposition requirements and 

procedures and other significant aspects 

of the records disposition program. 

When a new or revised records schedule 

is issued, provide specific guidance to 

employees responsible for applying the 

schedule. 

PART 1225—SCHEDULING RECORDS 

Sec. 

1225.1 What are the authorities for this 

part? 

1225.2 What definitions apply to this part? 

1225.3 What standards are used as 

guidance for this part? 

1225.10 What Federal records must be 

scheduled? 

1225.12 How are records schedules 

developed? 

1225.14 How do agencies schedule 

permanent records? 

1225.16 How do agencies schedule 

temporary records? 

1225.18 How do agencies request records 

disposition authority? 

1225.20 When do agencies have to get GAO 

approval for schedules? 

1225.22 When must scheduled records be 

rescheduled? 

1225.24 When can an agency apply 

previously approved schedules to 

electronic records? 

1225.26 How do agencies change a 

disposition authority? 

Authority: 44 U.S.C. 2111, 2904, 2905, 

3102, and Chapter 33. 

§ 1225.1 What are the authorities for this 

part? 

The statutory authorities for this part 

are 44 U.S.C. 2111, 2904, 2905, 3102, 

and Chapter 33. 

§ 1225.2 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used throughout 

Subchapter B, including part 1225. 

§ 1225.3 What standards are used as 

guidance for this part? 

These regulations conform with 

guidance provided in ISO 15489– 

1:2001, Information and 

documentation—Records management. 

Paragraphs 4 (Benefits of records 

management), 6.3 (Responsibilities), 7.1 

(Principles of records management 

programmes), 8.3.7 (Retention and 

disposition), 9.2 (Determining how long 

to retain records), 9.10 (Documenting 

records management processes), 10 

(Records management processes and 

controls), and 11 (Monitoring and 

auditing) apply to records scheduling. 

§ 1225.10 What Federal records must be 

scheduled? 

All Federal records, including those 

created or maintained for the 

Government by a contractor, must be 

covered by a NARA-approved agency 

disposition authority, SF 115, Request 

for Records Disposition Authority, or 

the NARA General Records Schedules. 

§ 1225.12 How are records schedules 

developed? 

The principal steps in developing 

agency records schedules are listed 

below. Additional details that may be 

helpful are provided in the NARA 

records management handbook, 

Disposition of Federal Records at http:// 

www.archives.gov/records-mgmt/ 

publications/disposition-of-federalrecords/index.html. 

(a) Conduct a functional or work 

process analysis to identify the 

functions or activities performed by 

each organization or unit. Identify the 

recordkeeping requirements for each. 

(b) Prepare an inventory for each 

function or activity to identify records 

series, systems, and nonrecord 

materials. 

(c) Determine the appropriate scope of 

the records schedule items, e.g., 

individual series/system component, 

work process, group of related work 

processes, or broad program area. 

(d) Evaluate the period of time the 

agency needs each records series or 

system based on use, value to agency 

operations and oversight agencies, and 

legal obligations. Determine whether a 

fixed or flexible retention period is more 

appropriate. For records proposed as 

temporary, specify a retention period 

that meets agency business needs and 

legal requirements. For records 

proposed as permanent records, identify 

how long the records are needed by the 


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agency before they are transferred to 

NARA. 

(e) Determine whether the proposed 

disposition should be limited to records 

in a specific medium. Records 

schedules submitted to NARA for 

approval on or after December 17, 2007, 

are media neutral, i.e., the disposition 

instructions apply to the described 

records in any medium, unless the 

schedule identifies a specific medium 

for a specific series. 

(f) Compile a schedule for records, 

including descriptions and disposition 

instructions for each item, using an SF 

115. 

(g) Obtain internal clearances, as 

appropriate, from program offices and 

other stakeholders such as the legal 

counsel, chief information officer, 

electronic systems manager, and agency 

historian, as appropriate. 

(h) Obtain approval from the 

Government Accountability Office 

(GAO), when required (see § 1225.20(a) 

for the categories that require GAO 

approval). 

(i) Submit an SF 115 covering only 

new or revised record items to NARA 

for approval (see § 1225.18(d)). 

(j) The disposition instructions on SF 

115s approved by the Archivist of the 

United States are mandatory (44 U.S.C. 

3314). 

§ 1225.14 How do agencies schedule 

permanent records? 

(a) Identification. Identify potentially 

permanent records. Useful guidelines in 

the identification of permanent Federal 

records may be found in the NARA 

records management handbook, 

Disposition of Federal Records (see 

§ 1225.12 for the Web site address of 

this publication). 

(b) Requirements. Each item proposed 

for permanent retention on an SF 115 

must include the following: 

(1) Descriptive title of the records 

series, component of an information 

system, or appropriate aggregation of 

series and/or information system 

components. The descriptive title must 

be meaningful to agency personnel; 

(2) Complete description of the 

records including: 

(i) Agency function; 

(ii) Physical type, if appropriate; 

(iii) Inclusive dates; 

(iv) Statement of how records are 

arranged; 

(v) Statement of restrictions on access 

under the FOIA if the records are 

proposed for immediate transfer; 

(3) Disposition instructions developed 

using the following guidelines: 

(i) If the records series or system is 

current and continuing, the SF 115 must 

specify the period of time after which 

the records will be transferred to the 

National Archives of the United States, 

and if appropriate, the time period for 

returning inactive records to an 

approved records storage facility. 

(ii) If the records series or system is 

nonrecurring, i.e., no additional records 

will be created or acquired, the agency 

must propose either that the records be 

transferred to the National Archives of 

the United States immediately or set 

transfer for a fixed date in the future. 

(c) Determination. NARA will 

appraise the records to determine if they 

have sufficient value to warrant archival 

permanent preservation. If NARA 

determines either that records are not 

permanent or that the transfer 

instructions are not appropriate: 

(1) NARA will notify the agency and 

negotiate an appropriate disposition. 

The disposition instruction on the SF 

115 will be modified prior to NARA 

approval; or 

(2) If NARA and the agency cannot 

agree on the disposition instruction for 

an item(s), the items(s) will be 

withdrawn. In these cases, the agency 

must submit an SF 115 with a revised 

proposal for disposition; unscheduled 

records must be treated as permanent 

until a new schedule is approved. 

§ 1225.16 How do agencies schedule 

temporary records? 

(a) Identification. Federal agencies 

request authority to dispose of records, 

either immediately or on a recurring 

basis. Requests for immediate disposal 

are limited to existing records that no 

longer accumulate. For recurring 

records, approved schedules provide 

continuing authority to destroy the 

records. The retention periods approved 

by NARA are mandatory, and the 

agency must dispose of the records after 

expiration of the retention period, 

except as provided in §§ 1226.18 and 

1226.20 of this subchapter. 

(b) Requirements. Each item on an SF 

115 proposed for eventual destruction 

must include the following: 

(1) Descriptive title familiar to agency 

personnel; 

(2) Description of the records 

including agency function, physical 

type(s) and informational content; 

(3) Disposition instructions developed 

using the following guidelines: 

(i) If the record series, component of 

an electronic information system, or 

appropriate aggregation of series and/or 

automated system components is 

current and continuing, the SF 115 must 

include file breaks, retention period or 

event after which the records will be 

destroyed, and, if appropriate, transfer 

period for retiring inactive records to an 

approved records storage facility. 

(ii) If the records series, system, or 

other aggregation is nonrecurring, i.e., 

no additional records will be created or 

acquired, the SF 115 must specify either 

immediate destruction or destruction on 

a future date. 

(c) Determination. If NARA 

determines that the proposed 

disposition is not consistent with the 

value of the records, it will request that 

the agency make appropriate changes. 

(1) If NARA determines that records 

proposed as temporary merit permanent 

retention and transfer to the National 

Archives of the United States, the 

agency must change the disposition 

instruction prior to approval of the SF 

115. 

(2) If NARA and the agency cannot 

agree on the retention period for an 

item(s), the items(s) will be withdrawn. 

In these cases, the agency must submit 

an SF 115 with a revised proposal for 

disposition; unscheduled records must 

be treated as permanent until a new 

schedule is approved. 

§ 1225.18 How do agencies request 

records disposition authority? 

(a) Federal agencies submit an SF 115 

to NARA to request authority to 

schedule (establish the disposition for) 

permanent and temporary records, 

either on a recurring or one-time basis. 

(b) SF 115s include only records not 

covered by the General Records 

Schedules (GRS) (see part 1227 of this 

subchapter), deviations from the GRS 

(see § 1227.12 of this subchapter), or 

previously scheduled records requiring 

changes in retention periods or 

substantive changes in description. 

(c) SF 115s do not include nonrecord 

material. The disposition of nonrecord 

materials is determined by agencies and 

does not require NARA approval. 

(d) The following elements are 

required on a SF 115: 

(1) Title and description of the 

records covered by each item. 

(2) Disposition instructions that can 

be readily applied. Records schedules 

must provide for: 

(i) The destruction of records that no 

longer have sufficient value to justify 

further retention (see § 1224.10(b) of this 

subchapter); and 

(ii) The identification of potentially 

permanent records and provisions for 

their transfer to the legal custody of 

NARA. 

(3) Certification that the records 

proposed for disposition are not now 

needed for the business of the agency or 

will not be needed after the specified 

retention periods. The signature of the 

authorized agency representative on the 

SF 115 provides certification. 

(e) NARA will return SF 115s that are 

improperly prepared. The agency must 


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make the necessary corrections and 

resubmit the form to NARA. 

§ 1225.20 When do agencies have to get 

GAO approval for schedules? 

(a), Federal agencies must obtain the 

approval of the Comptroller General for 

the disposal of the following types of 

records: 

(1) Program records less than 3 years 

old, 

(2) Deviations from General Records 

Schedule 2–10 (see § 1227.10 of this 

subchapter for a definition of general 

records schedules), and 

(b) This approval must be obtained 

before NARA will approve the 

disposition request. 

§ 1225.22 When must scheduled records 

be rescheduled? 

Agencies must submit an SF 115, 

Request for Records Disposition 

Authority, to NARA in the following 

situations: 

(a) If an interagency reorganization 

reassigns functions to an existing 

department or agency, the gaining 

organization must submit an SF 115 to 

NARA within one year of the 

reorganization. Schedules approved for 

one department or independent agency 

do not apply to records of other 

departments or agencies. 

(b) If a new department or agency 

assumes functions from an existing one, 

the new agency must schedule records 

documenting the acquired functions and 

all other records not covered by the GRS 

within two years. 

(c) If an agency needs to deviate from 

retention periods in the GRS. 

(d) If an agency needs to change 

retention periods for records previously 

appraised as temporary by NARA. 

(e) If an agency needs to change the 

approved disposition of records from 

permanent to temporary or vice versa. 

(f) If an agency needs to modify the 

description of records because the 

informational content of the records 

and/or the function documented by the 

records changes. 

(g) If an agency decides to change the 

scope of the records schedule items to 

include a greater or lesser aggregation of 

records (see § 1225.12(c)), unless 

§ 1225.24 applies. 

(h) Agencies must submit a new 

schedule to NARA for electronic 

versions of previously scheduled 

records if: 

(1) The content and function of the 

records have changed significantly (e.g., 

the electronic records contain 

information that is substantially 

different from the information included 

in the hard copy series or are used for 

different purposes). 

(2) The previously approved schedule 

explicitly excludes electronic records. 

(3) The electronic records consist of 

program records maintained on an 

agency Web site. 

(4) The electronic records consist of 

temporary program records maintained 

in a format other than scanned image 

AND the previously approved schedule 

is not media neutral. 

§ 1225.24 When can an agency apply 

previously approved schedules to 

electronic records? 

If the conditions specified in 

§ 1225.22(h) do not apply, the following 

conditions apply: 

(a) Permanent records. 

(1) The agency may apply a 

previously approved schedule for hard 

copy records to electronic versions of 

the permanent records when the 

electronic records system replaces a 

single series of hard copy permanent 

records or the electronic records consist 

of information drawn from multiple 

previously scheduled permanent series. 

Agencies must notify the National 

Archives and Records Administration, 

Modern Records Programs (NWM), 8601 

Adelphi Road, College Park, MD 20740– 

6001, phone number 301–837–1738, in 

writing of series of records that have 

been previously scheduled as 

permanent in hard copy form, including 

special media records as described in 36 

CFR 1235.52 of this subchapter. An 

agency should send the notification to 

the NARA unit that processes its 

schedules. The notification must be 

submitted within 90 days of when the 

electronic recordkeeping system 

becomes operational and must contain 

the: 

(i) Name of agency; 

(ii) Name of the electronic system; 

(iii) Organizational unit(s) or agency 

program that records support; 

(iv) Current disposition authority 

reference; and 

(v) Format of the records (e.g., 

database, scanned images, digital 

photographs, etc.). 

(2) If the electronic records include 

information drawn from both temporary 

and permanent hard copy series, an 

agency either may apply a previously 

approved permanent disposition 

authority, after submitting the 

notification required by paragraph (a)(1) 

of this section or may submit a new 

schedule if the agency believes the 

electronic records do not warrant 

permanent retention. 

(b) Temporary still pictures, sound 

recordings, motion picture film, and 

video recordings. The agency must 

apply the previously approved schedule 

to digital versions. If changes in the 

approved schedule are required, follow 

§ 1225.26. 

(c) Scanned images of temporary 

records, including temporary program 

records. The agency must apply the 

previously approved schedule. If 

changes in the approved schedule are 

required, follow § 1225.26. 

(d) Other temporary records 

maintained in an electronic format 

other than scanned images. 

(1) For temporary records that are 

covered by an item in a General Records 

Schedule (other than those General 

Records Schedule items that exclude 

electronic master files and databases) or 

an agency-specific schedule that 

pertains to administrative housekeeping 

activities, apply the previously 

approved schedule. If the electronic 

records consist of information drawn 

from multiple hard copy series, apply 

the previously approved schedule item 

with the longest retention period. 

(2) For temporary program records 

covered by a NARA-approved media 

neutral schedule item (i.e., the item 

appears on a schedule submitted to 

NARA for approval before December 17, 

2007, that is explicitly stated to be 

media neutral, or it appears on a 

schedule submitted to NARA for 

approval on or after December 17, 2007, 

that is not explicitly limited to a specific 

recordkeeping medium), apply the 

previously approved schedule. 

§ 1225.26 How do agencies change a 

disposition authority? 

Agencies must submit an SF 115 to 

permanently change the approved 

disposition of records. Disposition 

authorities are automatically superseded 

by approval of a later SF 115 for the 

same records unless the later SF 115 

specifies an effective date. As provided 

in § 1226.20(c) of this subchapter, 

agencies are authorized to retain records 

eligible for destruction until the new 

schedule is approved. 

(a) SF 115s that revise previously 

approved disposition authorities must 

cite all of the following, if applicable: 

(1) The SF 115 and item numbers to 

be superseded; 

(2) The General Records Schedules 

and item numbers that cover the 

records, if any; and 

(3) The current published records 

disposition manual and item numbers; 

or the General Records Schedules and 

item numbers that cover the records. 

(b) Agencies must submit with the SF 

115 an explanation and justification for 

the change. 

(c) For temporary retention of records 

beyond their normal retention period, 

see § 1226.18 of this subchapter. 

(d) Agencies must secure NARA 

approval of a change in the period of 


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time that permanent records will remain 

in agency legal custody prior to transfer 

to the National Archives of the United 

States. To request approval, agencies 

send written requests to the National 

Archives and Records Administration, 

Modern Records Programs (NWM), 8601 

Adelphi Road, College Park, MD 20740– 

6001, phone number (301) 837–1738. 

NARA approval is documented as an 

annotation to the schedule item. A new 

SF 115 is not required to extend the 

time period of agency legal custody. 

PART 1226—IMPLEMENTING 

DISPOSITION 

Sec. 

1226.1 What are the general authorities for 

this part? 

1226.2 What definitions apply to this part? 

1226.3 What standards are used as 

guidance for this part? 

1226.10 Must agencies apply approved 

schedules to their records? 

1226.12 How do agencies disseminate 

approved schedules? 

1226.14 What are the limitations in 

applying approved records schedule? 

1226.16 Does NARA ever withdraw 

disposition authority? 

1226.18 When may agencies temporarily 

extend retention periods? 

1226.20 How do agencies temporarily 

extend retention periods? 

1226.22 When must agencies transfer 

permanent records? 

1226.24 How must agencies destroy 

temporary records? 

1226.26 How do agencies donate 

temporary records? 

Authority: 44 U.S.C. 2111, 2904, 3102, and 

3301. 

§ 1226.1 What are the general authorities 

for this part? 

The statutory authorities are 44 U.S.C. 

2107, 2111, 2904, 3102, 3301 and 3302. 

§ 1226.2 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used throughout 

Subchapter B, including part 1226. 

§ 1226.3 What standards are used as 

guidance for this part? 

These regulations conform with 

guidance in ISO 15489–1:2001, 

Information and documentation— 

Records management, sections 8.3.7 

(Retention and disposition), 8.5 

(Discontinuing records systems), 9.2 

(Determining how long to retain 

records), and 9.9 (Implementing 

disposition). 

§ 1226.10 Must agencies apply approved 

schedules to their records? 

The application of approved 

schedules is mandatory except as 

provided in §§ 1226.16 and 1226.18. 

Federal records must be retained as 

specified in the schedule to conduct 

Government business, protect rights, 

avoid waste, and preserve permanent 

records for transfer to the National 

Archives of the United States. 

§ 1226.12 How do agencies disseminate 

approved schedules? 

(a) Agencies must issue disposition 

authorities through their internal 

directives system within six months of 

approval of the SF 115 or GRS to ensure 

proper distribution and application of 

the schedule. The directive must cite 

the legal authority (GRS or SF 115 and 

item numbers) for each schedule item 

covering records. 

(b) Agencies must send, via link or 

file, an electronic copy of each 

published agency schedule, directive, 

and other policy issuance relating to 

records disposition to NARA at 

RM.Communications@nara.gov when 

the directive, manual, or policy issuance 

is posted or distributed. 

(c) The submission must include the 

name, title, agency, address, and phone 

number of the submitter. If the 

comprehensive records schedule or 

other policy issuance is posted on a 

publicly available Web site, the agency 

must provide the full Internet address 

(URL). 

§ 1226.14 What are the limitations in 

applying approved records schedules? 

Agencies must apply the approved 

records disposition schedules to their 

agency’s records as follows 

(a) Records described by items 

marked ‘‘disposition not approved’’ or 

‘‘withdrawn’’ may not be destroyed 

until a specific disposition has been 

approved by NARA. 

(b) Disposition authorities for items 

on approved SF 115s that specify an 

organizational component of the 

department or independent agency as 

the creator or custodian of the records 

may be applied to the same records after 

internal reorganization, but only if the 

nature, content, and functional 

importance of the records remain the 

same. Authority approved for items 

described in a functional format may be 

applied to any organizational 

component within the department or 

independent agency that is responsible 

for the relevant function. 

(c) Disposition authorities approved 

for one department or independent 

agency may not be applied to records of 

another department or agency. 

Departments or agencies that acquire 

records from another department or 

agency, and/or continue creating the 

same series of records previously 

created by another department or 

agency through interagency 

reorganization must promptly submit an 

SF 115 to NARA for disposition 

authorization. Until the new records 

schedule is approved, the records are 

unscheduled. See § 1225.22 of this 

subchapter. 

(d) Unless otherwise specified, newly 

approved disposition authorities apply 

retroactively to all existing records as 

described in the schedule. 

(e) When required by court order (i.e., 

order for expungement or destruction), 

an agency may destroy temporary 

records before their NARA-authorized 

disposition date. In accordance with 

§ 1230.14 of this subchapter, an agency 

must notify the National Archives and 

Records Administration, Modern 

Records Programs (NWM), 8601 

Adelphi Road, College Park, MD 20740– 

6001, phone number (301) 837–1738, 

when permanent or unscheduled 

records are to be destroyed in response 

to a court order. If the records have 

significant historical value, NARA will 

promptly advise the agency of any 

concerns over their destruction. 

§ 1226.16 Does NARA ever withdraw 

disposition authority? 

(a) When required to ensure the 

preservation of Government records, or 

when required by an emergency, or to 

maintain efficiency of Government 

operations, NARA will withdraw 

disposal authorizations in approved 

schedules (44 U.S.C. 2909). This 

withdrawal may apply to particular 

items on agency schedules or may apply 

to all existing authorizations for a 

specified type of record in any or all 

agencies. 

(b) To both impose and rescind the 

withdrawal, NARA will notify the 

affected agency or agencies in writing, 

either by letter or NARA bulletin. 

§ 1226.18 When may agencies temporarily 

extend retention periods? 

(a) Agencies may temporarily retain 

records approved for destruction 

beyond their NARA-approved retention 

period if special circumstances alter the 

normal administrative, legal, or fiscal 

value of the records. 

(1) Agencies must not retain records 

whose disposal after a specified period 

is required by statute, unless retention 

is ordered by a Court. 

(2) In determining whether or not to 

temporarily extend the retention period 

of records, agencies must ensure that the 

extension of retention is consistent with 

the requirement contained in 5 U.S.C. 

552a (Privacy Act of 1974, as amended) 

that records concerning individuals are 

maintained only if relevant and 

necessary to accomplish a purpose of 


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the agency that is required by law or 

Executive order. 

(b) If the records that are to be 

temporarily retained beyond their 

approved destruction date have been 

transferred to records storage facilities, 

agencies must notify the facility. 

(c) Once the special circumstances 

that require extended retention of 

records have elapsed, agencies must 

destroy the records in accordance with 

the NARA-approved disposition 

instructions. 

(d) Agencies must submit an SF 115 

to NARA to change schedule provisions 

on a continuing basis in accordance 

with § 1225.26 of this subchapter. 

Agencies may retain records eligible for 

destruction until the new schedule is 

approved. 

§ 1226.20 How do agencies temporarily 

extend retention periods? 

(a) Agencies must secure NARA 

written approval to retain records series 

or systems that are eligible for 

destruction under NARA-approved 

schedules except when: 

(1) The agency has requested a change 

in the records schedule in accordance 

with § 1225.26 of this subchapter, in 

which case the agency is authorized to 

retain records eligible for destruction 

until the new SF 115 is approved; 

(2) The records will be needed for less 

than one year; or 

(3) A court order requires retention of 

the records. 

(b) To request an extension, agencies 

must send a letter to the National 

Archives and Records Administration, 

Modern Records Programs (NWM), 8601 

Adelphi Road, College Park, MD 20740– 

6001, phone number (301) 837–1738. 

Along with a justification, the request 

must include: 

(1) A concise description of the 

records series for which the extension is 

requested. 

(2) A citation to the agency records 

schedule or the GRS currently governing 

disposition of the records; 

(3) A statement of the estimated 

period of time that the records will be 

required; and 

(4) For records in the agency’s 

custody, a statement of the current and 

proposed physical location of the 

records. 

(c) Agencies must ensure that records 

in records storage facilities are retained 

for the duration of the extension. 

§ 1226.22 When must agencies transfer 

permanent records? 

All records scheduled as permanent 

must be transferred to the National 

Archives of the United States after the 

period specified on the SF 115 in 

accordance with procedures specified 

under § 1235.12 of this subchapter. 

§ 1226.24 How must agencies destroy 

temporary records? 

(a) Sale or salvage of unrestricted 

records—(1) Paper records. Paper 

records to be destroyed normally must 

be sold as wastepaper, or otherwise 

salvaged. All sales must follow the 

established procedures for the sale of 

surplus personal property. (See 41 CFR 

part 101—45, Sale, Abandonment, or 

Destruction of Personal Property.) The 

contract for sale must prohibit the resale 

of all records for use as records or 

documents. 

(2) Records on electronic and other 

media. Records other than paper records 

(audio, visual, and electronic records on 

physical media data tapes, disks, and 

diskettes) may be salvaged and sold in 

the same manner and under the same 

conditions as paper records. 

(b) Destruction of unrestricted 

records. Unrestricted records that 

agencies cannot sell or otherwise 

salvage must be destroyed by burning, 

pulping, shredding, macerating, or other 

suitable means authorized by 

implementing regulations issued under 

E.O. 12958, as amended or its successor. 

(c) Destruction of classified or 

otherwise restricted records. If the 

records are restricted because they are 

national security classified or exempted 

from disclosure by statute, including the 

Privacy Act, or regulation: 

(1) Paper records. For paper records, 

the agency or its wastepaper contractor 

must definitively destroy the 

information contained in the records by 

one of the means specified in paragraph 

(b) of this section and their destruction 

must be witnessed either by a Federal 

employee or, if authorized by the 

agency, by a contractor employee. 

(2) Electronic records. Electronic 

records scheduled for destruction must 

be disposed of in a manner that ensures 

protection of any sensitive, proprietary, 

or national security information. 

Magnetic recording media previously 

used for electronic records containing 

sensitive, proprietary, or national 

security information must not be reused 

if the previously recorded information 

can be compromised in any way by 

reuse of the media. 

§ 1226.26 How do agencies donate 

temporary records? 

(a) Agencies must obtain written 

approval from NARA before donating 

records eligible for disposal to an 

appropriate person, organization, 

institution, corporation, or government 

(including a foreign government) that 

has requested them. Records that are not 

eligible for disposal cannot be donated. 

(b) Agencies request the approval of 

such a donation by sending a letter to 

the National Archives and Records 

Administration, Modern Records 

Programs (NWM), 8601 Adelphi Road, 

College Park, MD 20740–6001, phone 

number (301) 837–1738. The request 

must include: 

(1) The name of the department or 

agency, and relevant subdivisions, 

having custody of the records; 

(2) The name and address of the 

proposed recipient of the records; 

(3) A list containing: 

(i) Description of the records to be 

transferred, 

(ii) The inclusive dates of the records, 

(iii) The SF 115 or GRS and item 

numbers that authorize destruction of 

the records; 

(4) A statement providing evidence: 

(i) That the proposed donation is in 

the best interests of the Government, 

(ii) That the proposed recipient agrees 

not to sell the records as records or 

documents, and 

(iii) That the donation will be made 

without cost to the U.S. Government; 

(5) A certification that: 

(i) The records contain no information 

the disclosure of which is prohibited by 

law or contrary to the public interest, 

and/or 

(ii) The records proposed for transfer 

to a person or commercial business are 

directly pertinent to the custody or 

operations of properties acquired from 

the Government, and/or 

(iii) A foreign government desiring the 

records has an official interest in them. 

(c) NARA will determine whether the 

donation is in the public interest and 

notify the requesting agency of its 

decision in writing. If NARA determines 

such a proposed donation is contrary to 

the public interest, the agency must 

destroy the records in accordance with 

the appropriate disposition authority. 

PART 1227—GENERAL RECORDS 

SCHEDULES 

Sec. 

1227.1 What are the authorities for Part 

1227? 

1227.2 What definitions apply to this part? 

1227.3 What standards are used as 

guidance for this part? 

1227.10 What are General Records 

Schedules (GRS)? 

1227.12 When must agencies apply the 

GRS? 

1227.14 How do I obtain copies of the 

GRS? 

Authority: 44 U.S.C. 3303a(d). 


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§ 1227.1 What are the authorities for Part 

1227? 

The statutory authority for this part is 

44 U.S.C. 3303a(d). 

§ 1227.2 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used in part 1227. 

§ 1227.3 What standards are used as 

guidance for this part? 

These regulations conform with 

guidance provided in ISO 15489– 

1:2001, Information and 

documentation—Records management, 

paragraphs 9.2 (Determining how long 

to retain records) and 9.9 (Implementing 

disposition). 

§ 1227.10 What are General Records 

Schedules (GRS)? 

General Records Schedules (GRS) are 

schedules issued by the Archivist of the 

United States that authorize, after 

specified periods of time, the 

destruction of temporary records or the 

transfer to the National Archives of the 

United States of permanent records that 

are common to several or all agencies. 

§ 1227.12 When must agencies apply the 

GRS? 

(a) Agencies apply the disposition 

instructions of the GRS, as provided in 

the following table. 

When NARA issues a new or revised GRS, and . . . Then . . . 

(1) The new or revised GRS states that the provisions must be followed without exception.All agencies must follow the disposition instructions of the GRS, regardless of whether or not they have existing schedules. 

(2) Your agency does not have an existing schedule for these records. Your agency must follow the disposition instructions of the GRS. If your 

agency’s needs require a different retention period, then your agency 

must submit an SF 115 in accordance with 36 CFR part 1225 of this 

subchapter, and a justification for the deviation. 

(3) When your agency has an existing schedule and the new or revised 

GRS permits use of existing agency-specific schedules.

Your agency may follow the disposition instructions in either the GRS 

or the existing agency schedule, but it must follow the same instructions throughout the agency and instruct its staff to do so. If your 

agency chooses to follow its own schedule, then it must notify NARA 

within 120 days of the issuance of the new or revised GRS. 

(4) Your agency does not create or maintain any of the records addressed by that GRS.No action is required. 

(b) Except as provided in the table in 

paragraph (a), agencies must incorporate 

in their disposition manual or otherwise 

disseminate new and revised GRS 

within 6 months after NARA has issued 

the GRS Transmittal. 

(c) NARA may, at its discretion, apply 

the provisions of the GRS to records in 

its legal custody, subject to the 

provisions of § 1235.34 of this 

subchapter. 

§ 1227.14 How do I obtain copies of the 

GRS? 

(a) The GRS and instructions for their 

use are available online at http:// 

www.archives.gov/records-mgmt/ardor/ 

records-schedules.html. They are also 

available by writing to the National 

Archives and Records Administration, 

Modern Records Programs (NWM), 8601 

Adelphi Road, College Park, MD 20740– 

6001, phone number (301) 837–1738. 

(b) NARA distributes new and revised 

GRS to Federal agencies under 

sequentially numbered GRS 

transmittals. 

PART 1228—LOAN OF PERMANENT 

AND UNSCHEDULED RECORDS 

Sec. 

1228.1 What are the authorities for this 

part? 

1228.2 What definitions apply to this part? 

1228.8 Do loans of temporary records 

require NARA approval? 

1228.10 When do loans of permanent and 

unscheduled records require NARA 

approval? 

1228.12 How do agencies obtain approval 

to loan permanent or unscheduled 

records? 

1228.14 How will NARA handle a loan 

request? 

1228.16 When must agencies retrieve 

records that have been loaned? 

Authority: 44 U.S.C. 2904. 

§ 1228.1 What are the authorities for this 

part? 

The statutory authority for this part is 

44 U.S.C. 2904. 

§ 1228.2 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used in part 1228. 

§ 1228.8 Do loans of temporary records 

require NARA approval? 

Loans of temporary records between 

Federal agencies or to non-Federal 

recipients do not require approval from 

NARA. The lending agency is 

responsible for documenting the loan 

and return of the records. 

§ 1228.10 When do loans of permanent 

and unscheduled records require NARA 

approval? 

Loans of permanent or unscheduled 

records between Federal agencies or to 

non-Federal recipients require prior 

written approval from NARA. The loan 

of permanent or unscheduled records 

increases the likelihood of the records 

becoming lost, misplaced, or 

incorporated into other files. Agencies 

should consider reproducing or 

scanning the records in response to a 

loan request. 

§ 1228.12 How do agencies obtain 

approval to loan permanent or unscheduled 

records? 

(a) An agency proposing to loan 

permanent or unscheduled records must 

prepare a written loan agreement with 

the proposed recipient. The agreement 

must include: 

(1) The name of the department or 

agency and subdivisions having custody 

of the records; 

(2) The name and address of the 

proposed recipient of the records; 

(3) A list containing: 

(i) Identification of the records to be 

loaned, by series or system; 

(ii) The inclusive dates for each series 

or system; 

(iii) The volume and media of the 

records to be loaned; and 

(iv) The NARA disposition job (SF 

115) and item numbers covering the 

records, if any. 

(4) A statement of the purpose and 

duration of the loan; 

(5) A statement specifying any 

restrictions on the use of the records 

and how these restrictions will be 

imposed by the recipient; 

(6) A certification that the records will 

be stored in areas with security and 

environmental controls equal to those 

specified in part 1234 of this 

subchapter; and 

(7) A signature block for the Archivist 

of the United States. The loan must not 


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take place until the Archivist has signed 

the agreement. 

(b) On request, NARA may allow an 

agency to prepare an annual loan 

agreement covering multiple transfers 

from the same series of records to 

another single Federal agency. 

(c) The agency must send a written 

request to the National Archives and 

Records Administration, Modern 

Records Programs (NWM), 8601 

Adelphi Road, College Park, MD 20740– 

6001, phone number (301) 837–1738, 

transmitting the proposed loan 

agreement, citing the rationale for not 

providing copies in place of the original 

records, and specifying the name, title, 

and phone number of an agency contact. 

The request must be submitted or 

approved by the individual authorized 

to sign records schedules as described 

in § 1220.34(b) of this subchapter. 

§ 1228.14 How will NARA handle a loan 

request? 

(a) NARA will review the request and, 

if it is approved, return the signed 

agreement to the agency within 30 days. 

(b) NARA will deny the request 

within 30 days if the records are due or 

past due to be transferred to the 

National Archives of the United States 

in accordance with part 1235 of this 

subchapter, if the loan would endanger 

the records, or if the loan would 

otherwise violate the regulations in 36 

CFR chapter XII, subchapter B. NARA 

will notify the agency in writing if it 

disapproves the loan and the reasons for 

the disapproval of the loan. 

§ 1228.16 When must agencies retrieve 

records that have been loaned? 

An agency must contact the recipient 

of loaned permanent or unscheduled 

records 30 days prior to the expiration 

of the loan period (as stated in the loan 

agreement) to arrange for the return of 

the records. If the agency extends the 

duration of the loan, it must notify 

NARA (see § 1228.12(b)) in writing, 

specifying the reason for the extension 

and providing the new expiration date 

of the loan. 

PART 1229—EMERGENCY 

AUTHORIZATION TO DESTROY 

RECORDS 

Sec. 

1229.1 What is the scope of this part? 

1229.2 What are the authorities for this 

part? 

1229.3 What definitions apply to this part? 

1229.10 What steps must be taken when 

records are a continuing menace to 

health or life, or to property? 

1229.12 What are the requirements during a 

state of war or threatened war? 

Authority: 44 U.S.C. 3310 and 3311. 

§ 1229.1 What is the scope of this part? 

This part describes certain conditions 

under which records may be destroyed 

without regard to the provisions of part 

1226 of this subchapter. 

§ 1229.2 What are the authorities for this 

part? 

The statutory authorities for this part 

are 44 U.S.C. 3310 and 3311. 

§ 1229.3 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used in part 1229. 

§ 1229.10 What steps must be taken when 

records are a continuing menace to health 

or life, or to property? 

When NARA and the agency that has 

custody of them jointly determine that 

records in the custody of an agency of 

the U.S. Government are a continuing 

menace to human health or life, or to 

property, NARA will authorize the 

agency to eliminate the menace 

immediately by any method necessary: 

(a) When an agency identifies records 

that pose a continuing menace to human 

health or life, or to property, the records 

officer or other designee must 

immediately notify the National 

Archives and Records Administration, 

Modern Records Programs (NWM), 8601 

Adelphi Road, College Park, MD 20740– 

6001, phone number (301) 837–1738. 

The notice must specify the description 

of the records, their location and 

quantity, and the nature of the menace. 

Notice may be given via e-mail to 

RM.Communications@nara.gov, or via 

phone, (301) 837–1738, or fax, (301) 

837–3698, to NWM or the NARA 

Regional Administrator. 

(b) If NARA concurs in a 

determination that the records must be 

destroyed, NARA will notify the agency 

to immediately destroy the records. 

(c) If NARA does not concur that the 

menace must be eliminated by 

destruction of the records, NARA will 

advise the agency on remedial action to 

address the menace. 

§ 1229.12 What are the requirements 

during a state of war or threatened war? 

(a) Destruction of records outside the 

territorial limits of the continental 

United States is authorized whenever, 

during a state of war between the United 

States and any other nation or when 

hostile action appears imminent, the 

head of the agency that has custody of 

the records determines that their 

retention would be prejudicial to the 

interest of the United States, or that they 

occupy space urgently needed for 

military purposes and are without 

sufficient administrative, fiscal, legal, 

historical, or other value to warrant 

their continued preservation. 

(b) Within six months after the 

destruction of any records under this 

authorization, the agency official who 

directed the destruction must submit to 

the National Archives and Records 

Administration, Modern Records 

Programs (NWM), 8601 Adelphi Road, 

College Park, MD 20740–6001, phone 

number (301) 837–1738, a written 

statement explaining the reasons for the 

destruction and a description of the 

records and how, when, and where the 

destruction was accomplished. 

PART 1230—UNLAWFUL OR 

ACCIDENTAL REMOVAL, DEFACING, 

ALTERATION, OR DESTRUCTION OF 

RECORDS 

Sec. 

1230.1 What are the authorities for part 

1230? 

1230.2 What standards are used as guidance 

for this part? 

1230.3 What definitions apply to this part? 

1230.10 Who is responsible for preventing 

the unlawful or accidental removal, 

defacing, alteration, or destruction of 

records? 

1230.12 What are the penalties for unlawful 

or accidental removal, defacing, 

alteration, or destruction of records? 

1230.14 How do agencies report incidents? 

1230.16 How does NARA handle 

allegations of damage, alienation, or 

unauthorized destruction of records? 

1230.18 What assistance is available to 

agencies to recover unlawfully removed 

records? 

Authority: 44 U.S.C. 3105 and 3106. 

§ 1230.1 What are the authorities for part 

1230? 

The statutory authorities for this part 

are 44 U.S.C. 3105 and 3106. 

§ 1230.2 What standards are used as 

guidance for this part? 

These regulations conform with 

guidance provided in ISO 15489– 

1:2001, par. 6.3 (Responsibilities), 7.2 

(Characteristics of a record), 8.2 

(Records systems characteristics), and 

8.3 (Designing and implementing 

records systems). 

§ 1230.3 What definitions apply to this 

part? 

(a) See § 1220.18 of this subchapter 

for definitions of terms used throughout 

Subchapter B, including part 1230. 

(b) As used in part 1230— 

Alteration means the unauthorized 

annotation, addition, or deletion to a 

record. 

Deface means to obliterate, mar, or 

spoil the appearance or surface of a 

record that impairs the usefulness or 

value of the record. 


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Removal means selling, donating, 

loaning, transferring, stealing, or 

otherwise allowing a record to leave the 

custody of a Federal agency without the 

permission of the Archivist of the 

United States. 

Unlawful or accidental destruction 

(also called unauthorized destruction) 

means disposal of an unscheduled or 

permanent record; disposal prior to the 

end of the NARA-approved retention 

period of a temporary record (other than 

court-ordered disposal under 

§ 1226.14(d) of this subchapter); and 

disposal of a record subject to a FOIA 

request, litigation hold, or any other 

hold requirement to retain the records. 

§ 1230.10 Who is responsible for 

preventing the unlawful or accidental 

removal, defacing, alteration, or destruction 

of records? 

The heads of Federal agencies must: 

(a) Prevent the unlawful or accidental 

removal, defacing, alteration, or 

destruction of records. Section 

1222.24(a)(6) of this subchapter 

prohibits removing records from the 

legal custody of the agency. Records 

must not be destroyed except under the 

provisions of NARA-approved agency 

records schedules or the General 

Records Schedules issued by NARA; 

(b) Take adequate measures to inform 

all employees and contractors of the 

provisions of the law relating to 

unauthorized destruction, removal, 

alteration or defacement of records; 

(c) Implement and disseminate 

policies and procedures to ensure that 

records are protected against unlawful 

or accidental removal, defacing, 

alteration and destruction; and 

(d) Direct that any unauthorized 

removal, defacing, alteration or 

destruction be reported to NARA. 

§ 1230.12 What are the penalties for 

unlawful or accidental removal, defacing, 

alteration, or destruction of records? 

The penalties for the unlawful or 

accidental removal, defacing, alteration, 

or destruction of Federal records or the 

attempt to do so, include a fine, 

imprisonment, or both (18 U.S.C. 641 

and 2071). 

§ 1230.14 How do agencies report 

incidents? 

The agency must report promptly any 

unlawful or accidental removal, 

defacing, alteration, or destruction of 

records in the custody of that agency to 

the National Archives and Records 

Administration, Modern Records 

Programs (NWM), 8601 Adelphi Road, 

College Park, MD 20740–6001, phone 

number 301–837–1738. 

(a) The report must include: 

(1) A complete description of the 

records with volume and dates if 

known; 

(2) The office maintaining the records; 

(3) A statement of the exact 

circumstances surrounding the removal, 

defacing, alteration, or destruction of 

records; 

(4) A statement of the safeguards 

established to prevent further loss of 

documentation; and 

(5) When appropriate, details of the 

actions taken to salvage, retrieve, or 

reconstruct the records. 

(b) The report must be submitted or 

approved by the individual authorized 

to sign records schedules as described 

in § 1220.34(b) of this subchapter. 

§ 1230.16 How does NARA handle 

allegations of unlawful or accidental 

removal, defacing, alteration, or 

destruction? 

Upon receiving any credible 

information that records are at risk of 

actual, impending, or threatened 

damage, alienation, or unauthorized 

destruction, NARA will contact the 

agency as follows: 

(a) If the threat has not yet resulted in 

damage, removal, or destruction, NARA 

will contact the agency by phone 

promptly and follow up in writing 

within five business days. 

(b) If records have allegedly been 

damaged, removed, or destroyed, NARA 

will notify the agency in writing 

promptly with a request for a response 

within 30 days. 

§ 1230.18 What assistance is available to 

agencies to recover unlawfully removed 

records? 

NARA will assist the head of the 

agency in the recovery of any 

unlawfully removed records, including 

contacting the Attorney General, if 

appropriate. 

PART 1231—TRANSFER OF RECORDS 

FROM THE CUSTODY OF ONE 

EXECUTIVE AGENCY TO ANOTHER 

Sec. 

1231.1 What is the authority for part 1231? 

1231.2 What definitions apply to this part? 

1231.10 Who has the authority to approve 

the transfer of records from the custody 

of one executive agency to another? 

1231.12 How do executive agencies request 

to transfer records to another executive 

agency? 

1231.14 May the records of terminated 

agencies be transferred to another 

agency? 

1231.16 What restrictions are there on use 

of transferred records? 

1231.18 When are records transferred 

between executive agencies without 

NARA approval? 

Authority: 44 U.S.C. 2908. 

§ 1231.1 What is the authority for part 

1231? 

The authority for this part is 44 U.S.C. 

2908. 

§ 1231.2 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used throughout 

Subchapter B, including this part. 

§ 1231.10 Who has the authority to 

approve the transfer of records from the 

custody of one executive agency to 

another? 

NARA must approve in writing the 

transfer of records from the custody of 

one executive agency to another, except 

as provided in § 1231.18(a). 

§ 1231.12 How do executive agencies 

request to transfer records to another 

executive agency? 

An executive agency that proposes to 

transfer records to another agency must 

request approval of the transfer of 

records in writing from the National 

Archives and Records Administration, 

Modern Records Programs (NWM), 8601 

Adelphi Road, College Park, MD 20740– 

6001, phone number (301) 837–1738. 

The request must include: 

(a) A concise description of the 

records to be transferred, including the 

volume in cubic feet; 

(b) A statement of the restrictions 

imposed on the use of records; 

(c) A statement of the agencies and 

persons using the records and the 

purpose of this use; 

(d) A statement of the current and 

proposed physical and organizational 

locations of the records; 

(e) A justification for the transfer 

including an explanation of why it is in 

the best interests of the Government; 

and 

(f) Copies of the concurrence in the 

transfer by the heads of all agencies 

involved in the proposed transfer. 

§ 1231.14 May the records of terminated 

agencies be transferred to another agency? 

The records of executive agencies 

whose functions are terminated or are in 

process of liquidation may be 

transferred to another executive agency 

that inherits the function. All such 

transfers must be made in accordance 

with the provisions of this part. 

§ 1231.16 What restrictions are there on 

use of transferred records? 

Restrictions imposed under a statute 

or Executive order must continue to be 

imposed after the transfer. Restrictions 

imposed by agency determination must 

also continue, unless the restrictions are 

removed by agreement between the 

agencies concerned. 


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§ 1231.18 When are records transferred 

between executive agencies without NARA 

approval? 

Records are transferred between 

executive agencies without NARA 

approval when: 

(a) Records are transferred to a NARA 

or agency-operated records center or to 

the National Archives of the United 

States in accordance with Parts 1232, 

1233, and 1235 of this subchapter; 

(b) Temporary records are loaned for 

official use; 

(c) The transfer of records or functions 

or both is required by statute, Executive 

Order, Presidential reorganization plan, 

or Treaty, or by specific determinations 

made thereunder; 

(d) The records are transferred 

between two components of the same 

executive department; or 

(e) Records accessioned into the 

National Archives of the United States 

are later found to lack sufficient value 

for continued retention in the National 

Archives. The disposition of such 

records is governed by § 1235.34 of this 

subchapter. 

PART 1232—TRANSFER OF RECORDS 

TO RECORDS STORAGE FACILITIES 

Sec. 

1232.1 What are the authorities for part 

1232? 

1232.2 What definitions apply to this part? 

1232.3 What standards are used as guidance 

for this part? 

1232.10 Where can a Federal agency 

transfer records for storage? 

1232.12 Under what conditions may 

Federal records be stored in records 

storage facilities? 

1232.14 What requirements must an agency 

meet before it transfers records to a 

records storage facility? 

1232.16 What documentation must an 

agency create before it transfers records 

to a records storage facility? 

1232.18 What procedures must an agency 

follow to transfer records to an agency 

records center or commercial records 

storage facility? 

Authority: 44 U.S.C. 2907 and 3103. 

§ 1232.1 What are the authorities for part 

1232? 

The statutory authorities for this part 

are 44 U.S.C. 2907 and 3103. 

§ 1232.2 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used throughout 

Subchapter B, including part 1232. 

§ 1232.3 What standards are used as 

guidance for this part? 

These regulations conform with 

guidance provided in ISO 15489–1:2001 

Paragraphs 7.1 (Principles of records 

management programmes), 8.3.3 

(Physical storage medium and 

protection), 8.3.6 (Access, retrieval and 

use), 8.3.7 (Retention and disposition), 

9.6 (Storage and handling), and 9.8.3 

(Location and tracking) apply to records 

creation and maintenance. 

1232.10 Where can a Federal agency 

transfer records for storage? 

Federal agencies may store records in 

the following types of records storage 

facilities, so long as the facilities meet 

the facility standards in 36 CFR part 

1234. Records transferred to a records 

storage facility remain in the legal 

custody of the agency. 

(a) NARA Federal Records Centers. 

NARA owns or operates records centers 

for the storage, processing, and servicing 

of records for Federal agencies under 

the authority of 44 U.S.C. 2907. These 

NARA records centers include a 

National Personnel Records Center that 

contains designated records of the 

Department of Defense and the Office of 

Personnel Management and other 

designated records pertaining to former 

Federal civilian employees. A list of 

NARA Federal Records Centers is 

available from the NARA Web site at 

http://www.archives.gov/locations/ 

index.html and also in the U.S. 

Government Manual, which is for sale 

from the Superintendent of Documents, 

U.S. Government Printing Office, Mail 

Stop: SSOP, Washington, DC 20402– 

9328, and is available on the Internet 

from http://www.access.gpo.gov/nara/ 

index.html. 

(b) Records centers operated by or on 

behalf of one or more Federal agencies 

other than NARA. 

(c) Commercial records storage 

facilities operated by private entities. 

§ 1232.12 Under what conditions may 

Federal records be stored in records 

storage facilities? 

The following chart shows what 

records can be stored in a records 

storage facility and the conditions that 

apply: 

Type of record Conditions 

(a) Permanent records ........................................ Any storage facility that meets the provisions of 36 CFR part 1234. 

(b) Unscheduled records ..................................... (1) Any storage facility that meets the provisions of 36 CFR part 1234. 

(2) Also requires prior notification to NARA (see § 1232.14(b)). 

(c) Temporary records (excluding Civilian Personnel Records).Any storage facility that meets the provisions of 36 CFR part 1234. 

(d) Vital records ................................................... Storage facility must meet the provisions of 36 CFR parts 1223 and 1234. 

(e) Civilian Personnel Records ........................... May only be transferred to the National Personnel Records Center (NPRC), St. Louis, MO 

(see part 1233 of this subchapter). 

§ 1232.14 What requirements must an 

agency meet before it transfers records to 

a records storage facility? 

An agency must meet the following 

requirements before it transfers records 

to a records storage facility: 

(a) Ensure that the requirements of 36 

CFR part 1234 are met. Special attention 

must be paid to ensuring appropriate 

storage conditions for records on nonpaper based media (e.g., film, audio 

tape, magnetic tape), especially those 

that are scheduled for long-term or 

permanent retention, as those records 

typically require more stringent 

environmental controls (see 36 CFR 

parts 1236 and 1237). 

(b) To transfer unscheduled records, 

notify the National Archives and 

Records Administration, Modern 

Records Programs (NWM), 8601 

Adelphi Road, College Park, MD 20740– 

6001, phone number (301) 837–1738, in 

writing prior to the transfer. The 

notification must identify the records 

storage facility and include a copy of the 

information required by § 1232.16(a). 

(c) For all records being transferred, 

create documentation sufficient to 

identify and locate files. (See § 1232.16.) 

(d) Ensure that NARA-approved 

retention periods are implemented 

properly and that records documenting 

final disposition actions (destruction or 

transfer to the National Archives of the 

United States) are created and 

maintained. 

§ 1232.16 What documentation must an 

agency create before it transfers records to 

a records storage facility? 

(a) Documentation must include for 

each individual records series spanning 

one or more consecutive years 

transferred to storage: 

(1) Creating office; 


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(2) Series title; 

(3) Description (in the case of 

permanent or unscheduled records, the 

description must include a folder title 

list of the box contents or equivalent 

detailed records description); 

(4) Date span; 

(5) Physical form and medium of 

records (e.g., paper, motion picture film, 

sound recordings, photographs, or 

digital images); 

(6) Volume; 

(7) Citation to NARA-approved 

records schedule or agency records 

disposition manual (unscheduled 

records must cite the date the agency 

notified NARA or, if available, the date 

the SF 115 was submitted to NARA); 

(8) Restrictions on access if 

applicable; 

(9) Disposition (‘‘permanent,’’ 

‘‘temporary,’’ or ‘‘unscheduled; SF 115 

pending’’); 

(10) Date of disposition action 

(transfer to the National Archives of the 

United States or destruction); 

(11) Physical location, including 

name and address of facility; and 

(12) Control number or identifier used 

to track records. 

(b) In the case of permanent and 

unscheduled records, provide copies of 

such documentation to NARA and 

advise NARA in writing of the new 

location whenever the records are 

moved to a new storage facility. For 

permanent records, the agency must 

transmit this documentation to the 

National Archives and Records 

Administration, Modern Records 

Programs (NWM), 8601 Adelphi Road, 

College Park, MD 20740–6001, phone 

number (301) 837–1738, no later than 30 

days after records are transferred to the 

agency records center or commercial 

records storage facility. 

(1) Retain temporary records until the 

expiration of their NARA-approved 

retention period and no longer, except 

as provided for in § 1226.18 of this 

subchapter. 

(2) Transfer permanent records to the 

National Archives of the United States 

in accordance with 36 CFR part 1235. 

§ 1232.18 What procedures must an 

agency follow to transfer records to an 

agency records center or commercial 

records storage facility? 

Federal agencies must use the 

following procedures to transfer records 

to an agency records center or 

commercial records storage facility: 

(a) Agreements with agency records 

centers or contracts with commercial 

records storage facilities must 

incorporate the standards in 36 CFR part 

1234 and allow for inspections by the 

agency and NARA to ensure 

compliance. An agency must remove 

records promptly from a facility if 

deficiencies identified during an 

inspection are not corrected within six 

months of issuance of the report. 

(b) For temporary records, the agency 

must make available to NARA on 

request the documentation specified in 

§ 1232.16. 

(c) Retain temporary records until the 

expiration of their NARA-approved 

retention period and no longer, except 

as provided for in § 1226.18 of this 

subchapter. 

(d) Ensure that NARA-approved 

retention periods are implemented 

properly and that records documenting 

final disposition actions (destruction or 

transfer to the National Archives of the 

United States) are created and 

maintained as required by 36 CFR 

1232.14. 

(1) Agencies must establish 

procedures that ensure that temporary 

records are destroyed in accordance 

with NARA-approved records schedules 

and that NARA-approved changes to 

schedules, including the General 

Records Schedules, are applied to 

records in agency records centers or 

commercial records storage facilities in 

a timely fashion. Procedures must 

include a requirement that the agency 

records center or commercial records 

storage facility notify agency records 

managers or the creating office before 

the disposal of temporary records unless 

disposal of temporary records is 

initiated by the agency. 

(2) Move temporary records that are 

subsequently reappraised as permanent 

to a facility that meets the 

environmental control requirements for 

permanent records in § 1234.14 of this 

subchapter within one year of their reappraisal, if not already in such a 

facility. (Paper-based permanent records 

in an existing records storage facility 

that does not meet the environmental 

control requirements in § 1234.14 of this 

subchapter on October 1, 2009, must be 

moved from that facility no later than 

February 28, 2010.) 

(3) Agencies must establish 

procedures to ensure that the agency 

records centers or commercial records 

storage facilities transfer permanent 

records to the National Archives of the 

United States as individual series 

spanning one or more years and in 

accordance with the provisions of part 

1235 of this subchapter. 

(e) Agencies must ensure that records 

that are restricted because they are 

security classified or exempt from 

disclosure by statute, including the 

Privacy Act of 1974 (5 U.S.C. 552a, as 

amended), or regulation are stored and 

maintained in accordance with 

applicable laws, Executive orders, or 

regulations. 

(f) Agencies must ensure that 

temporary records, including restricted 

records (security classified or exempted 

from disclosure by statute, including the 

Privacy Act of 1974, or regulation), are 

destroyed in accordance with the 

requirements specified in § 1226.24 of 

this subchapter. 

(g) Agencies must ensure that 

emergency operating vital records, as 

defined in 36 CFR part 1223, that are 

transferred to an agency records center 

or commercial records storage facility 

are available in accordance with 36 CFR 

1223.24. 

(h) Provide access to appropriate 

NARA staff to records wherever they are 

located in order to conduct an 

inspection in accordance with 36 CFR 

part 1239 or to process a request for 

records disposition authority. 

PART 1233—TRANSFER, USE, AND 

DISPOSITION OF RECORDS IN A 

NARA FEDERAL RECORDS CENTER 

Sec. 

1233.1 What are the authorities for part 

1233? 

1233.2 What definitions apply to this part? 

1233.3 What standards are used as guidance 

for this part? 

1233.10 How does an agency transfer 

records to a NARA Federal Records 

Center? 

1233.12 How does an agency transfer vital 

records to a NARA Federal Records 

Center? 

1233.14 What personnel records must be 

transferred to the National Personnel 

Records (NPRC)? 

1233.16 How does an agency transfer 

records to the National Personnel 

Records Center (NPRC)? 

1233.18 What reference procedures are 

used in NARA Federal Records Centers? 

1233.20 How are disposal clearances 

managed for records in NARA Federal 

Records Centers? 

Authority: 44 U.S.C. 2907 and 3103. 

§ 1233.1 What are the authorities for part 

1233? 

The statutory authorities for this part 

are 44 U.S.C. 2907 and 3103. 

§ 1233.2 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used throughout 

Subchapter B, including part 1233. 

§ 1233.3 What standards are used as 

guidance for this part? 

These regulations conform with 

guidance provided in ISO 15489– 

1:2001. Paragraphs 7.1 (Principles of 

records management programmes), 8.3.3 

(Physical storage medium and 

protection), 8.3.6 (Access, retrieval and 


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use), 8.3.7 (Retention and disposition), 

9.6 (Storage and handling), and 9.8.3 

(Location and tracking) apply to records 

creation and maintenance. 

§ 1233.10 How does an agency transfer 

records to a NARA Federal Records 

Center? 

An agency transfers records to a 

NARA Federal Records Center using the 

following procedures: 

(a) General. NARA will ensure that its 

records centers meet the facilities 

standards in 36 CFR part 1234, which 

meets the agency’s obligation in 

§ 1232.14(a) of this subchapter. 

(b) Agencies must use their 

designated NARA Federal Records 

Center(s) as specified in their agency 

agreement with NARA (Federal Records 

Center Program (FRCP)) for the storage 

of records. 

(c) Transfers to NARA Federal 

Records Centers must be preceded by 

the submission of a Standard Form (SF) 

135, Records Transmittal and Receipt, 

or an electronic equivalent. Preparation 

and submission of this form will meet 

the requirements for records description 

provided in § 1232.14(c) of this 

subchapter, except the folder title list 

required for permanent and 

unscheduled records. A folder title list 

is also required for records that are 

scheduled for sampling or selection 

after transfer. 

(d) A separate SF 135 or electronic 

equivalent is required for each 

individual records series having the 

same disposition authority and 

disposition date. 

(e) For further guidance on transfer of 

records to a NARA Federal Records 

Center, consult the NARA Federal 

Records Centers Program Web site 

(http://www.archives.gov/frc/ 

toolkit.html#transfer), or current NARA 

publications and bulletins by contacting 

the National Archives and Records 

Administration, Office of Regional 

Records Services (NR), 8601 Adelphi 

Road, College Park, MD or phone (301) 

837–2950, or individual NARA Federal 

Records Centers http:// 

www.archives.gov/frc/locations.html. 

§ 1233.12 How does an agency transfer 

vital records to a NARA Federal Records 

Center? 

For assistance on selecting an 

appropriate site among NARA facilities 

for storage of vital records, agencies may 

contact National Archives and Records 

Administration, Office of Regional 

Records Services, 8601 Adelphi Road, 

College Park, MD or phone (301) 837– 

2950. The actual transfers are governed 

by the general requirements and 

procedures in this part and 36 CFR part 

1223. 

§ 1233.14 What personnel records must be 

transferred to the National Personnel 

Records Center (NPRC)? 

(a) Civilian personnel files: 

(1) General Records Schedules 1 and 

2 specify that certain Federal civilian 

personnel, medical, and pay records 

must be centrally stored at the National 

Personnel Records Center headquartered 

in St. Louis, MO. 

(2) [Reserved] 

(b) The following types of medical 

treatment records are transferred to the 

NPRC: 

(1) Inpatient (hospitalization) records 

created for all categories of patients 

(active duty personnel, retirees, and 

dependents) receiving inpatient 

treatment and extended ambulatory 

procedures; and 

(2) Outpatient medical treatment 

records for military retirees, 

dependents, and other civilians treated 

at military health care facilities 

(excludes active duty military personnel 

at time of military discharge or 

retirement). 

§ 1233.16 How does an agency transfer 

records to the National Personnel Records 

Center (NPRC)? 

Agencies must use the following 

procedures when transferring records to 

the NPRC: 

(a) Civilian personnel files. 

(1) Forward the official personnel 

folder (OPF) and the employee medical 

folder (EMF) to the NPRC at the same 

time. 

(2) Transfer EMFs and OPFs in 

separate folders. 

(3) Retirement of individual folders is 

based on the date of separation and 

should occur within 90 to 120 days after 

the employee separates from Federal 

service. 

(4) For additional guidance, consult 

the Office of Personnel Management 

(OPM) 1900 E Street, NW., Washington, 

DC 20415, phone number (202) 606– 

1800, Web site http://www.opm.gov/ 

feddata/recguide2008.pdf, for the OPM 

publication ‘‘The Guide to Personnel 

Recordkeeping’’ for procedures on the 

transfer of OPFs and EMFs. 

(b) Military medical records. Military 

health care facilities should contact 

their facility records managers for 

guidance on transferring medical 

records to NPRC. For additional 

guidance, consult the ‘‘Transactions 

with the National Personnel Records 

Center (NPRC), St. Louis, MO’’ section 

of the NARA Federal Records Centers 

Program Web site (http:// 

www.archives.gov/frc/ 

toolkit.html#transactions). 

(c) Other guidance assistance. For 

further guidance assistance consult the 

NPRC Web site (http:// 

www.archives.gov/facilities/mo/ 

st_louis.html). 

§ 1233.18 What reference procedures are 

used in NARA Federal Records Centers? 

(a) Agency records transferred to a 

NARA Federal Records Center remain in 

the legal custody of the agency. NARA 

acts as the agency’s agent in maintaining 

the records. NARA will not disclose the 

record except to the agency that 

maintains the record, or under rules 

established by that agency which are 

consistent with existing laws. 

(b) For general reference requests 

agencies may use an FRCP electronic 

system or, the Optional Form (OF) 11, 

Reference Request—Federal Records 

Centers, a form jointly designated by 

that agency and NARA, or their 

electronic equivalents. 

(c) For civilian personnel records, 

agencies must use the following forms: 

(1) Standard Form 127, Request for 

Official Personnel Folder (Separated 

Employee), to request transmission of 

personnel folders of separated 

employees stored at the National 

Personnel Records Center. Additional 

instructions on requesting OPFs are 

available online at http:// 

www.archives.gov/st-louis/civilianpersonnel/federal-agencies.html. 

(2) Standard Form 184, Request for 

Employee Medical Folder (Separated 

Employee), to request medical folders 

stored at the National Personnel Records 

Center. Additional instructions on 

requesting EMFs are available online at 

http://www.archives.gov/st-louis/ 

civilian-personnel/federalagencies.html. 

(3) Optional Form 11, Reference 

Request—Federal Records Center to 

request medical records transferred to 

other NARA Federal Records Centers 

prior to September 1, 1984. The request 

must include the name and address of 

the agency’s designated medical records 

manager 

(d) For military personnel records 

reference requests, the following forms 

must be used: 

(1) Federal agencies must use 

Standard Form (SF) 180, Request 

Pertaining to Military Records, to obtain 

information from military service 

records in the National Personnel 

Records Center (Military Personnel 

Records); authorized agencies 

requesting the loan of a military 

personnel record may order records 

using eMilrecs (electronic equivalent of 

the SF 180). Access to eMilrecs and 

additional information is available on 

line at: http:www.archives.gov/st-louis/ 

military-personnel/agencies/ompf-fedagency.html. 


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(2) A military veteran or the next of 

kin of a deceased, former member of the 

military may order military personnel 

records through the submission of an SF 

180 or an online records request system. 

Additional information is available on 

line at: http://www.archives.gov/ 

veterans/evetrecs. 

(3) Members of the public and nongovernmental organizations also may 

obtain copies of SF 180 by submitting a 

written request to the National 

Personnel Records Center (Military 

Personnel Records), 9700 Page 

Boulevard, St. Louis, MO 63132. OMB 

Control Number 3095–0029 has been 

assigned to the SF 180. 

(4) Agencies may furnish copies of the 

SF 180 to the public to aid in inquiries. 

Copies of SF 180 are available at: 

http://www.archives.gov/st-louis/ 

military-personnel/standard-form180.html#sf. 

(5) For guidance on requesting 

original medical treatment records, 

military hospitals and clinics should 

consult the ‘‘Transactions with the 

National Personnel Records Center 

(NPRC), St. Louis, MO’’ section of the 

NARA Federal Records Centers Program 

Web site (http://www.archives.gov/frc/ 

toolkit.html#transactions). 

(e) For further guidance on requesting 

records from a NARA Federal Records 

Center, consult the NARA Federal 

Records Centers Program Web site 

(http://www.archives.gov/frc/ 

toolkit.html#retrieval), or current NARA 

publications and bulletins by contacting 

the Office of Regional Records Services 

(NR), or individual NARA Federal 

Records Centers (http:// 

www.archives.gov/frc/locations.html), 

or the Washington National Records 

Center (NWMW). 

§ 1233.20 How are disposal clearances 

managed for records in NARA Federal 

Records Centers? 

(a) The National Personnel Records 

Center will destroy records covered by 

General Records Schedules 1 and 2 in 

accordance with those schedules 

without further agency clearance. 

(b) NARA Federal Records Centers 

will destroy other eligible Federal 

records only with the written 

concurrence of the agency having legal 

custody of the records. 

(c) NARA Federal Records Centers 

will maintain documentation on the 

final disposition of records, as required 

in 36 CFR 1232.14(d). 

(d) When NARA approves an 

extension of retention period beyond 

the time authorized in the records 

schedule for records stored in NARA 

Federal Records Centers, NARA will 

notify those affected records centers to 

suspend disposal of the records (see 

§ 1226.18 of this subchapter). 

(e) For further guidance on records 

disposition, consult the NARA Federal 

Records Centers Program Web site 

(http://www.archives.gov/frc/ 

toolkit.html#disposition), or current 

NARA publications and bulletins by 

contacting the Office of Regional 

Records Services (NR) or individual 

NARA Federal Records Centers (http:// 

www.archives.gov/frc/locations.html), 

individual NARA regional facilities, or 

the Washington National Records Center 

(NWMW). 

PART 1234—FACILITY STANDARDS 

FOR RECORDS STORAGE FACILITIES 

Subpart A—General 

Sec. 

1234.1 What authorities apply to part 1234? 

1234.2 What does this part cover? 

1234.3 What publications are incorporated 

by reference? 

1234.4 What definitions are used in this 

part? 

Subpart B—Facility Standards 

1234.10 What are the facility requirements 

for all records storage facilities? 

1234.12 What are the fire safety 

requirements that apply to records 

storage facilities? 

1234.14 What are the requirements for 

environmental controls for records 

storage facilities? 

Subpart C—Handling Deviations From 

NARA’s Facility Standards 

1234. 20 What rules apply if there is a 

conflict between NARA standards and 

other regulatory standards that a facility 

must follow? 

1234. 22 How does an agency request a 

waiver from a requirement in this 

subpart? 

1234. 24 How does NARA process a waiver 

request? 

Subpart D—Facility Approval and 

Inspection Requirements 

1234.30 How does an agency request 

authority to establish or relocate records 

storage facilities? 

1234.32 What does an agency have to do to 

certify a fire-safety detection and 

suppression system? 

1234.34 When may NARA conduct an 

inspection of a records storage facility? 

Appendix A to Part 1234—Minimum 

Security Standards for Level III Federal 

Facilities 

Appendix B to Part 1234—Alternative 

Certified Fire-Safety Detection and 

Suppression System(s) 

Authority: 44 U.S.C. 2104(a), 2904, 2907, 

3102, and 3103. 

Subpart A—General 

§ 1234.1 What authorities apply to part 

1234? 

NARA is authorized to establish, 

maintain and operate records centers for 

Federal agencies under 44 U.S.C. 2907. 

NARA is authorized, under 44 U.S.C. 

3103, to approve a records center that is 

maintained and operated by an agency. 

NARA is also authorized to promulgate 

standards, procedures, and guidelines to 

Federal agencies with respect to the 

storage of their records in commercial 

records storage facilities. See 44 U.S.C. 

2104(a), 2904, and 3102. The regulations 

in this subpart apply to all records 

storage facilities Federal agencies use to 

store, service, and dispose of their 

records. 

§ 1234.2 What does this part cover? 

(a) This part covers the establishment, 

maintenance, and operation of records 

centers, whether Federally-owned and 

operated by NARA or another Federal 

agency, or Federally-owned and 

contractor operated. This part also 

covers an agency’s use of commercial 

records storage facilities. Records 

centers and commercial records storage 

facilities are referred to collectively as 

records storage facilities. This part 

specifies the minimum structural, 

environmental, property, and life-safety 

standards that a records storage facility 

must meet when the facility is used for 

the storage of Federal records. 

(b) Except where specifically noted, 

this part applies to all records storage 

facilities. Certain noted provisions 

apply only to new records storage 

facilities established or placed in service 

on or after September 28, 2005. 

§ 1234.3 What publications are 

incorporated by reference in this part? 

(a) Certain material is incorporated by 

reference into this part with the 

approval of the Director of the Federal 

Register under 5 U.S.C. 552(a) and 1 

CFR part 51. To enforce any edition 

other than that specified in this section, 

NARA must publish notice of change in 

the Federal Register and the material 

must be available to the public. All 

approved material is available for 

inspection at the Office of the Federal 

Register. For information on the 

availability of this material at the Office 

of the Federal Register, call 202–741– 

6030 or go to http://www.archives.gov/ 

federal_register/ 

code_of_federal_regulations/ 

ibr_locations.html. 

(b) The material incorporated by 

reference is also available for inspection 

at NARA’s Archives Library Information 

Center (NWCCA), Room 2380, 8601 


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Adelphi Road, College Park, MD 20740– 

6001, phone number (301) 837–3415, 

and is available for purchase from the 

sources listed below. If you experience 

difficulty obtaining the standards 

referenced below, contact NARA’s 

Space and Security Management 

Division (NAS), National Archives and 

Records Administration, 8601 Adelphi 

Road, College Park, MD 20740–6001, 

phone number (301) 837–1867. 

(c) American National Standards 

Institute (ANSI). The following 

standards are available from the 

American National Standards Institute, 

25 West 43rd St., 4th Floor, New York, 

NY 10036, phone number (212) 642– 

4900, or online at http:// 

webstore.ansi.org. 

(1) IAPMO/ANSI UMC 1–2003 

(‘‘IAPMO/ANSI UMC 1’’), Uniform 

Mechanical Code, 2003, IBR approved 

for § 1234.12. 

(2) NFPA 40 (‘‘NFPA 40–1997’’), 

Standard for the Storage and Handling 

of Cellulose Nitrate Motion Picture 

Film, 1997 Edition, IBR approved for 

§ 1234.12. 

(3) NFPA 42 (‘‘NFPA 42’’), Code for 

the Storage of Pyroxylin Plastic, 1997 

Edition, IBR approved for § 1234.12. 

(4) NFPA 54 (‘‘NFPA 54’’), National 

Fuel Gas Code, 2002 Edition, IBR 

approved for § 1234.12. 

(5) NFPA 101 (‘‘NFPA 101’’), Life 

Safety Code, 1997 Edition, IBR 

approved for § 1234.12. 

(d) Document Center Inc. The 

following standards are available from 

the standards reseller the Document 

Center Inc., 111 Industrial Road, Suite 9, 

Belmont, CA, 94002, phone number 

(650) 591–7600, or online at http:// 

www.document-center.com. 

(1) ANSI/NAPM IT9.18–1996 (‘‘ANSI/ 

NAPM IT9.18’’), Imaging Materials— 

Processed Photographic Plates—Storage 

Practices, September 8, 1996, IBR 

approved for § 1234.14. 

(2) ANSI/NAPM IT9.23–1996 (‘‘ANSI/ 

NAPM IT9.23’’), Imaging Materials— 

Polyester Base Magnetic Tape—Storage, 

September 6, 1996, IBR approved for 

§ 1234.14. 

(e) Document Engineering Co., Inc. 

(DECO). The following standards are 

available from the standards reseller 

DECO—Document Engineering Co., Inc., 

15210 Stagg Street, Van Nuys, CA, 

phone number (818) 782–1010, or 

online at http://www.doceng.com. 

(1) ANSI/NAPM IT9.20–1996 (‘‘ANSI/ 

NAPM IT9.20’’), Imaging Materials— 

Reflection Prints—Storage Practices, 

September 8, 1996, IBR approved for 

§ 1234.14. 

(2) NFPA 221 (‘‘NFPA 221’’), 

Standard for Fire Walls and Fire Barrier 

Walls, 1994 Edition, November 1, 1994, 

IBR approved for § 1234.4. 

(3) ASTM E 119–98 (‘‘ASTM E 119– 

98’’), Standard Test Methods for Fire 

Tests of Building Construction and 

Materials, 1998, IBR approved for 

§ 1234.12. 

(4) NFPA 10 (‘‘NFPA 10’’), Portable 

Fire Extinguishers, 1994 Edition, 

November 1, 1994, IBR approved for 

Appendix B to part 1234. 

(5) NFPA 13 (‘‘NFPA 13’’), Standard 

for Installation of Sprinkler Systems, 

2002 Edition, October 1, 2002, IBR 

approved for §§ 1234.10 and 1234.12, 

and Appendix B to part 1234. 

(6) NFPA 20 (‘‘NFPA 20’’), Standard 

for the Installation of Centrifugal Fire 

Pumps, 1996 Edition, January 1, 1996, 

IBR approved for Appendix B to part 

1234. 

(f) Global Engineering Documents. 

The following standards are available 

from the standards reseller Global 

Engineering Documents, 15 Inverness 

Way, East Englewood, CO 80112, phone 

number (800) 854–7179, or online at 

http://www.global.ihs.com. 

(1) ANSI/PIMA IT9.25–1998 (‘‘ANSI/ 

PIMA IT9.25’’), Imaging Materials— 

Optical Disc Media—Storage, 1998, IBR 

approved for § 1234.14. 

(2) Reserved. 

(g) Techstreet. The following 

standards are available from the 

standards reseller Techstreet, 3916 

Ranchero Drive, Ann Arbor, MI 48108, 

phone number (800) 699–9277, or 

online at http://www.Techstreet.com. 

(1) ANSI/PIMA IT9.11–1998 (‘‘ANSI/ 

PIMA IT9.11’’), Imaging Materials— 

Processed Safety Photographic Films— 

Storage, January 1, 1998, IBR approved 

for § 1234.14. 

(2) UL 827 (‘‘UL 827’’), CentralStation Alarm Services, Sixth Edition, 

April 23, 1999, IBR approved for 

Appendix B to part 1234. 

(3) UL 1076 (‘‘UL 1076’’), Proprietary 

Burglar Alarm Units and Systems, Fifth 

Edition, February 1, 1999, IBR approved 

for § 1234.10 

(h) The following standards are not 

available from the original publisher or 

a standards reseller. As indicated in 

paragraph (b) of this section, the 

standards are available for inspection at 

the NWCCA. In order to inspect the 

standards at a NARA location other than 

the NARA facility in College Park, MD, 

please contact the NWCCA, Room 2380, 

8601 Adelphi Road, College Park, MD 

20740–6001, phone number (301) 837– 

3415 or e-mail your request to 

alic@nara.gov. 

(1) ANSI/ASHRAE 55–1992 (‘‘ANSI/ 

ASHRAE 55’’), Thermal Environmental 

Conditions for Human Occupancy, 

1992, IBR approved for § 1234.14. 

(2) ANSI/ASHRAE 62–1989 (‘‘ANSI/ 

ASHRAE 62’’), Ventilation for 

Acceptable Indoor Air Quality, 1989, 

IBR approved for § 1234.14. 

(3) UL 611 (‘‘UL 611’’), CentralStation Burglar-Alarm Systems, 

February 22, 1996, IBR approved for 

§ 1234.10 

§ 1234.4 What definitions are used in this 

part? 

The following definitions apply to 

this part: 

Auxiliary spaces mean non-records 

storage areas such as offices, research 

rooms, other work and general storage 

areas but excluding boiler rooms or 

rooms containing equipment operating 

with a fuel supply such as generator 

rooms. 

Commercial records storage facility 

has the meaning specified in § 1220.18 

of this chapter. 

Existing records storage facility means 

any records center or commercial 

records storage facility used to store 

records on September 27, 2005, and that 

has stored records continuously since 

that date. 

Fire barrier wall means a wall, other 

than a fire wall, having a fire resistance 

rating, constructed in accordance with 

NFPA 221 (incorporated by reference, 

see § 1234.3). 

Licensed fire protection engineer 

means a licensed or registered 

professional engineer with a recognized 

specialization in fire protection 

engineering. For those States that do not 

separately license or register fire 

protection engineers, a licensed or 

registered professional engineer with 

training and experience in fire 

protection engineering, operating within 

the scope of that licensing or 

registration, who is also a professional 

member of the Society of Fire Protection 

Engineers. 

Must and provide means that a 

provision is mandatory. 

New records storage facility means 

any records center or commercial 

records storage facility established or 

converted for use as a records center or 

commercial records storage facility on 

or after September 28, 2005. 

Permanent record has the meaning 

specified in § 1220.18 of this 

subchapter. 

Records center has the meaning 

specified in § 1220.18 of this 

subchapter. 

Records storage area means the area 

intended for long-term storage of 

records that is enclosed by four fire 

barrier walls, the floor, and the ceiling. 

Records storage facility has the 

meaning specified in § 1220.18 of this 

subchapter. 


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Sample/Select records means records 

whose final disposition requires an 

analytical or statistical sampling prior to 

final disposition authorization, in which 

some percentage of the original 

accession will be retained as permanent 

records. 

Should or may means that a provision 

is recommended or advised but not 

required. 

Temporary record has the meaning 

specified in § 1220.18 of this 

subchapter. 

Unscheduled records has the meaning 

specified in § 1220.18 of this 

subchapter. 

Subpart B—Facility Standards 

§ 1234.10 What are the facility 

requirements for all records storage 

facilities? 

(a) The facility must be constructed 

with non-combustible materials and 

building elements, including walls, 

columns and floors. There are two 

exceptions to this requirement: 

(1) Roof elements may be constructed 

with combustible materials if installed 

in accordance with local building codes 

and if roof elements are protected by a 

properly installed, properly maintained 

wet-pipe automatic sprinkler system, as 

specified in NFPA 13 (incorporated by 

reference, see § 1234.3). 

(2) An agency may request a waiver of 

the requirement specified in paragraph 

(a) from NARA for an existing records 

storage facility with combustible 

building elements to continue to operate 

until October 1, 2009. In its request for 

a waiver, the agency must provide 

documentation that the facility has a fire 

suppression system specifically 

designed to mitigate this hazard and 

that the system meets the requirements 

of § 1234.12(s). Requests must be 

submitted to the Director, Space and 

Security Management Division (NAS), 

National Archives and Records 

Administration, 8601 Adelphi Road, 

College Park, MD 20740–6001, phone 

number (301) 837–1867. 

(b) A facility with two or more stories 

must be designed or reviewed by a 

licensed fire protection engineer and 

civil/structural engineer to avoid 

catastrophic failure of the structure due 

to an uncontrolled fire on one of the 

intermediate floor levels. For new 

buildings the seals on the construction 

drawings serve as proof of this review. 

For existing buildings, this requirement 

may be demonstrated by a professional 

letter of opinion under seal by a 

licensed fire protection engineer that the 

fire resistance of the separating floor(s) 

is/(are) at least four hours, and a 

professional letter of opinion under seal 

by a licensed civil/structural engineer 

that there are no obvious structural 

weaknesses that would indicate a high 

potential for structural catastrophic 

collapse under fire conditions. 

(c) The building must be sited a 

minimum of five feet above and 100 feet 

from any 100 year flood plain areas, or 

be protected by an appropriate flood 

wall that conforms to local or regional 

building codes. 

(d) The facility must be designed in 

accordance with the applicable national, 

regional, state, or local building codes 

(whichever is most stringent) to provide 

protection from building collapse or 

failure of essential equipment from 

earthquake hazards, tornadoes, 

hurricanes and other potential natural 

disasters. 

(e) Roads, fire lanes and parking areas 

must permit unrestricted access for 

emergency vehicles. 

(f) A floor load limit must be 

established for the records storage area 

by a licensed structural engineer. The 

limit must take into consideration the 

height and type of the shelving or 

storage equipment, the width of the 

aisles, the configuration of the space, 

etc. The allowable load limit must be 

posted in a conspicuous place and must 

not be exceeded. 

(g) The facility must ensure that the 

roof membrane does not permit water to 

penetrate the roof. NARA strongly 

recommends that this requirement be 

met by not mounting equipment on the 

roof and placing nothing else on the roof 

that may cause damage to the roof 

membrane. Alternatively, a facility may 

meet this requirement with stringent 

design specifications for roof-mounted 

equipment in conjunction with a 

periodic roof inspection program 

performed by appropriately certified 

professionals. 

(1) New records storage facilities must 

meet the requirements in this paragraph 

(g) beginning on September 28, 2005. 

(2) Existing facilities must meet the 

requirements in this paragraph (g) no 

later than October 1, 2009. 

(h) Piping (with the exception of fire 

protection sprinkler piping and storm 

water roof drainage piping) must not be 

run through records storage areas unless 

supplemental measures such as gutters 

or shields are used to prevent water 

leaks and the piping assembly is 

inspected for potential leaks regularly. If 

drainage piping from roof drains must 

be run though records storage areas, the 

piping must be run to the nearest 

vertical riser and must include a 

continuous gutter sized and installed 

beneath the lateral runs to prevent 

leakage into the storage area. Vertical 

pipe risers required to be installed in 

records storage areas must be fully 

enclosed by shaft construction with 

appropriate maintenance access panels. 

(1) New records storage facilities must 

meet the requirements in this paragraph 

(h) beginning on September 28, 2005. 

(2) Existing facilities must meet the 

requirements in this paragraph (h) no 

later than October 1, 2009. 

(i) The following standards apply to 

records storage shelving and racking 

systems: 

(1) All storage shelving and racking 

systems must be designed and installed 

to provide seismic bracing that meets 

the requirements of the applicable state, 

regional, and local building code 

(whichever is most stringent); 

(2) Racking systems, steel shelving, or 

other open-shelf records storage 

equipment must be braced to prevent 

collapse under full load. Each racking 

system or shelving unit must be 

industrial style shelving rated at least 50 

pounds per cubic foot supported by the 

shelf; 

(3) Compact mobile shelving systems 

(if used) must be designed to permit 

proper air circulation and fire protection 

(detailed specifications that meet this 

requirement can be provided by NARA 

by writing to Director, Space and 

Security Management Division (NAS), 

National Archives and Records 

Administration, 8601 Adelphi Road, 

College Park, MD 20740–6001.), phone 

number (301) 837–1867). 

(j) The area occupied by the records 

storage facility must be equipped with 

an anti-intrusion alarm system, or 

equivalent, meeting the requirements of 

UL 1076 (incorporated by reference, see 

§ 1234.3), level AA, to protect against 

unlawful entry after hours and to 

monitor designated interior storage 

spaces. This intrusion alarm system 

must be monitored in accordance with 

UL 611, (incorporated by reference, see 

§ 1234.3). 

(k) The facility must comply with the 

requirements for a Level III facility as 

defined in the Department of Justice, U. 

S. Marshals Service report Vulnerability 

Assessment of Federal Facilities dated 

June 28, 1995. These requirements are 

provided in Appendix A to this part 

1234. Agencies may require compliance 

with Level IV or Level V facility security 

requirements if the facility is classified 

at the higher level. 

(l) Records contaminated by 

hazardous materials, such as radioactive 

isotopes or toxins, infiltrated by insects, 

or exhibiting active mold growth must 

be stored in separate areas having 

separate air handling systems from other 

records. 

(m) To eliminate damage to records 

and/or loss of information due to 


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insects, rodents, mold and other pests 

that are attracted to organic materials 

under specific environmental 

conditions, the facility must have an 

Integrated Pest Management program as 

defined in the Food Protection Act of 

1996 (Section 303, Pub. L. 104–170, 110 

Stat. 1512). This states in part that 

Integrated Pest Management is a 

sustainable approach to managing pests 

by combining biological, cultural, 

physical, and chemical tools in a way 

that minimizes economic, health, and 

environmental risks. The IPM program 

emphasizes three fundamental 

elements: 

(1) Prevention. IPM is a preventive 

maintenance process that seeks to 

identify and eliminate potential pest 

access, shelter, and nourishment. It also 

continually monitors for pests 

themselves, so that small infestations do 

not become large ones; 

(2) Least-toxic methods. IPM aims to 

minimize both pesticide use and risk 

through alternate control techniques 

and by favoring compounds, 

formulations, and application methods 

that present the lowest potential hazard 

to humans and the environment; and 

(3) Systems approach. The IPM pest 

control contract must be effectively 

coordinated with all other relevant 

programs that operate in and around a 

building, including plans and 

procedures involving design and 

construction, repairs and alterations, 

cleaning, waste management, food 

service, and other activities. 

(n) For new records storage facilities 

only, the additional requirements in this 

paragraph (n) must be met: 

(1) Do not install mechanical 

equipment, excluding material handling 

and conveyance equipment that have 

operating thermal breakers on the 

motor, containing motors rated in excess 

of 1 HP within records storage areas 

(either floor mounted or suspended 

from roof support structures). 

(2) Do not install high-voltage 

electrical distribution equipment (i.e., 

13.2kv or higher switchgear and 

transformers) within records storage 

areas (either floor mounted or 

suspended from roof support 

structures). 

(3) A redundant source of primary 

electric service such as a second 

primary service feeder should be 

provided to ensure continuous, 

dependable service to the facility 

especially to the HVAC systems, fire 

alarm and fire protection systems. 

Manual switching between sources of 

service is acceptable. 

(4) A facility storing permanent 

records must be kept under positive air 

pressure, especially in the area of the 

loading dock. In addition, to prevent 

fumes from vehicle exhausts from 

entering the facility, air intake louvers 

must not be located in the area of the 

loading dock, adjacent to parking areas, 

or in any location where a vehicle 

engine may be running for any period of 

time. Loading docks must have an air 

supply and exhaust system that is 

separate from the remainder of the 

facility. 

§ 1234.12 What are the fire safety 

requirements that apply to records storage 

facilities? 

(a) The fire detection and protection 

systems must be designed or reviewed 

by a licensed fire protection engineer. If 

the system was not designed by a 

licensed fire protection engineer, the 

review requirement is met by furnishing 

a report under the seal of a licensed fire 

protection engineer that describes the 

design intent of the fire detection and 

suppression system, detailing the 

characteristics of the system, and 

describing the specific measures beyond 

the minimum features required by code 

that have been incorporated to minimize 

loss. The report should make specific 

reference to appropriate industry 

standards used in the design, such as 

those issued by the National Fire 

Protection Association, and any testing 

or modeling or other sources used in the 

design. 

(b) All interior walls separating 

records storage areas from each other 

and from other storage areas in the 

building must be at least three-hour fire 

barrier walls. A records storage facility 

may not store more than 250,000 cubic 

feet total of Federal records in a single 

records storage area. When Federal 

records are combined with other records 

in a single records storage area, only the 

Federal records will apply toward this 

limitation. 

(c) Fire barrier walls that meet the 

following specifications must be 

provided: 

(1) For existing records storage 

facilities, at least one-hour-rated fire 

barrier walls must be provided between 

the records storage areas and other 

auxiliary spaces. 

(2) For new records storage facilities, 

two-hour-rated fire barrier walls must be 

provided between the records storage 

areas and other auxiliary spaces. One 

exterior wall of each stack area must be 

designed with a maximum fire resistive 

rating of one hour, or, if rated more than 

one hour, there must be at least one 

knock-out panel in one exterior wall of 

each stack area. 

(d) Penetrations in the walls must not 

reduce the specified fire resistance 

ratings. The fire resistance ratings of 

structural elements and construction 

assemblies must be in accordance with 

ASTM E 119–98 (incorporated by 

reference, see § 1234.3). 

(e) The fire resistive rating of the roof 

must be a minimum of 1⁄2 hour for all 

records storage facilities, or must be 

protected by an automatic sprinkler 

system designed, installed, and 

maintained in accordance with NFPA 

13 (incorporated by reference, see 

§ 1234.3). 

(f) Openings in fire barrier walls 

separating records storage areas must be 

avoided to the greatest extent possible. 

If openings are necessary, they must be 

protected by self-closing or automatic 

Class A fire doors, or equivalent doors 

that maintain the same rating as the 

wall. 

(g) Roof support structures that cross 

or penetrate fire barrier walls must be 

cut and supported independently on 

each side of the fire barrier wall. 

(h) If fire barrier walls are erected 

with expansion joints, the joints must be 

protected to their full height. 

(i) Building columns in the records 

storage areas must be at least 1-hour fire 

resistant or protected in accordance 

with NFPA 13 (incorporated by 

reference, see § 1234.3). 

(j) Automatic roof vents for routine 

ventilation purposes must not be 

designed into new records storage 

facilities. Automatic roof vents, 

designed solely to vent in the case of a 

fire, with a temperature rating at least 

twice that of the sprinkler heads are 

acceptable. 

(k) Where lightweight steel roof or 

floor supporting members (e.g., bar 

joists having top chords with angles 2 

by 12 inches or smaller, 1/4-inch thick 

or smaller, and 13/16-inch or smaller 

Web diameters) are present, they must 

be protected either by applying a 10- 

minute fire resistive coating to the top 

chords of the joists, or by retrofitting the 

sprinkler system with large drop 

sprinkler heads. If a fire resistive coating 

is applied, it must be a product that will 

not release (off gas) harmful fumes into 

the facility. If fire resistive coating is 

subject to air erosion or flaking, it must 

be fully enclosed in a drywall 

containment constructed of metal studs 

with fire retardant drywall. Retrofitting 

may require modifications to the piping 

system to ensure that adequate water 

capacity and pressure are provided in 

the areas to be protected with these 

large drop sprinkler heads. 

(l) Open flame (oil or gas) unit heaters 

or equipment, if used in records storage 

areas, must be installed or used in the 

records storage area in accordance with 

NFPA 54 (incorporated by reference, see 

§ 1234.3), and the IAPMO/ANSI UMC 1, 


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Uniform Mechanical Code (incorporated 

by reference, see § 1234.3). 

(m) For existing records storage 

facilities, boiler rooms or rooms 

containing equipment operating with a 

fuel supply (such as generator rooms) 

must be separated from records storage 

areas by 2-hour-rated fire barrier walls 

with no openings directly from these 

rooms to the records storage areas. Such 

areas must be vented directly to the 

outside to a location where fumes will 

not be drawn back into the facility. 

(n) For new records storage facilities, 

boiler rooms or rooms containing 

equipment operating with a fuel supply 

(such as generator rooms) must be 

separated from records storage areas by 

4-hour-rated fire barrier walls with no 

openings directly from these rooms to 

the records storage areas. Such areas 

must be vented directly to the outside 

to a location where fumes will not be 

drawn back into the facility. 

(o) For new records storage facilities, 

fuel supply lines must not be installed 

in areas containing records and must be 

separated from such areas with 4-hour 

rated construction assemblies. 

(p) Equipment rows running 

perpendicular to the wall must comply 

with NFPA 101 (incorporated by 

reference, see § 1234.3), with respect to 

egress requirements. 

(q) No oil-type electrical transformers, 

regardless of size, except thermally 

protected devices included in 

fluorescent light ballasts, may be 

installed in the records storage areas. 

All electrical wiring must be in metal 

conduit, except that armored cable may 

be used where flexible wiring 

connections to light fixtures are 

required. Battery charging areas for 

electric forklifts must be separated from 

records storage areas with at least a 2- 

hour rated fire barrier wall. 

(r) Hazardous materials, including 

records on cellulose nitrate film, must 

not be stored in records storage areas. 

Nitrate motion picture film and nitrate 

sheet film may be stored in separate 

areas that meet the requirements of the 

appropriate NFPA standards, NFPA 40– 

1997 (incorporated by reference, see 

§ 1234.3), or NFPA 42 (incorporated by 

reference, see § 1234.3). 

(s) All record storage and adjoining 

areas must be protected by a 

professionally-designed fire-safety 

detection and suppression system that is 

designed to limit the maximum 

anticipated loss in any single fire event 

involving a single ignition and no more 

than 8 ounces of accelerant to a 

maximum of 300 cubic feet of records 

destroyed by fire. Section 1234.32 

specifies how to document compliance 

with this requirement. 

§ 1234.14 What are the requirements for 

environmental controls for records storage 

facilities? 

(a) Paper-based temporary records. 

Paper-based temporary records must be 

stored under environmental conditions 

that prevent the active growth of mold. 

Exposure to moisture through leaks or 

condensation, relative humidities in 

excess of 70%, extremes of heat 

combined with relative humidity in 

excess of 55%, and poor air circulation 

during periods of elevated heat and 

relative humidity are all factors that 

contribute to mold growth. 

(b) Nontextual temporary records. 

Nontextual temporary records, 

including microforms and audiovisual 

and electronic records, must be stored 

in records storage space that is designed 

to preserve them for their full retention 

period. New records storage facilities 

that store nontextual temporary records 

must meet the requirements in this 

paragraph (b) beginning on September 

28, 2005. Existing records storage 

facilities that store nontextual 

temporary records must meet the 

requirements in this paragraph (b) no 

later than October 1, 2009. At a 

minimum, nontextual temporary 

records must be stored in records 

storage space that meets the 

requirements for medium term storage 

set by the appropriate standard in this 

paragraph (b). In general, medium term 

conditions as defined by these standards 

are those that will ensure the 

preservation of the materials for at least 

10 years with little information 

degradation or loss. Records may 

continue to be usable for longer than 10 

years when stored under these 

conditions, but with an increasing risk 

of information loss or degradation with 

longer times. If temporary records 

require retention longer than 10 years, 

better storage conditions (cooler and 

drier) than those specified for medium 

term storage will be needed to maintain 

the usability of these records. The 

applicable standards are: 

(1) ANSI/PIMA IT9.11 (incorporated 

by reference, see § 1234.3); 

(2) ANSI/NAPM IT9.23 (incorporated 

by reference, see § 1234.3); 

(3) ANSI/PIMA IT9.25 (incorporated 

by reference, see § 1234.3); 

(4) ANSI/NAPM IT9.20 (incorporated 

by reference, see § 1234.3); and/or 

(5) ANSI/NAPM IT9.18 (incorporated 

by reference, see § 1234.3). 

(c) Paper-based permanent, 

unscheduled and sample/select records. 

Paper-based permanent, unscheduled, 

and sample/select records must be 

stored in records storage space that 

provides 24 hour/365 days per year air 

conditioning (temperature, humidity, 

and air exchange) equivalent to that 

required for office space. See ANSI/ 

ASHRAE Standard 55 (incorporated by 

reference, see § 1234.3), and ASHRAE 

Standard 62 (incorporated by reference, 

see § 1234.3), for specific requirements. 

New records storage facilities that store 

paper-based permanent, unscheduled, 

and/or sample/select records must meet 

the requirement in this paragraph (c) 

beginning on September 28, 2005. 

Existing storage facilities that store 

paper-based permanent, unscheduled, 

and/or sample/select records must meet 

the requirement in this paragraph (c) no 

later than October 1, 2009. 

(d) Nontextual permanent, 

unscheduled, and/or sample/select 

records. All records storage facilities 

that store microfilm, audiovisual, and/or 

electronic permanent, unscheduled, 

and/or sample/select records must 

comply with the storage standards for 

permanent and unscheduled records in 

parts 1238, 1237, and/or 1236 of this 

subchapter, respectively. 

Subpart C—Handling Deviations From 

NARA’s Facility Standards 

§ 1234.20 What rules apply if there is a 

conflict between NARA standards and other 

regulatory standards that a facility must 

follow? 

(a) If any provisions of this part 

conflict with local or regional building 

codes, the following rules of precedence 

apply: 

(1) Between differing levels of fire 

protection and life safety, the more 

stringent provision applies; and 

(2) Between mandatory provisions 

that cannot be reconciled with a 

requirement of this part, the local or 

regional code applies. 

(b) If any of the provisions of this part 

conflict with mandatory life safety or 

ventilation requirements imposed on 

underground storage facilities by 30 

CFR chapter I, 30 CFR chapter I applies. 

(c) NARA reserves the right to require 

documentation of the mandatory nature 

of the conflicting code and the inability 

to reconcile that provision with NARA 

requirements. 

§ 1234.22 How does an agency request a 

waiver from a requirement in this part? 

(a) Types of waivers that may be 

approved. NARA may approve 

exceptions to one or more of the 

standards in this part for: 

(1) Systems, methods, or devices that 

are demonstrated to have equivalent or 

superior quality, strength, fire 

resistance, effectiveness, durability, and 

safety to those prescribed by this 

subpart; 

(2) Existing agency records centers 

that met the NARA standards in effect 


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prior to January 3, 2000, but do not meet 

a new standard required to be in place 

on September 28, 2005; and 

(3) The application of roof 

requirements in §§ 1234.10 and 1234.12 

to underground storage facilities. 

(b) Where to submit a waiver request. 

The agency submits a waiver request, 

containing the information specified in 

paragraphs (c), (d), and/or (e) of this 

section to the Director, Space and 

Security Management Division (NAS), 

National Archives and Records 

Administration, 8601 Adelphi Rd., 

College Park, MD 20740–6001, phone 

number (301) 837–1867. 

(c) Content of request for waivers for 

equivalent or superior alternatives. The 

agency’s waiver request must contain: 

(1) A statement of the specific 

provision(s) of this part for which a 

waiver is requested, a description of the 

proposed alternative, and an 

explanation how it is equivalent to or 

superior to the NARA requirement; and 

(2) Supporting documentation that the 

alternative does not provide less 

protection for Federal records than that 

which would be provided by 

compliance with the corresponding 

provisions contained in this subpart. 

Documentation may take the form of 

certifications from a licensed fire 

protection engineer or a structural or 

civil engineer, as appropriate; reports of 

independent testing; reports of 

computer modeling; and/or other 

supporting information. 

(d) Content of request for waiver for 

previously compliant agency records 

center. The agency’s waiver request 

must identify which requirement(s) the 

agency records center cannot meet and 

provide a plan with milestones for 

bringing the center into compliance. 

(e) Content of request for waiver of 

roof requirements for underground 

facility. The agency’s waiver request 

must identify the location of the facility 

and whether the facility is a drift 

entrance facility or a vertical access 

facility. 

§ 1234.24 How does NARA process a 

waiver request? 

(a) Waiver for equivalent or superior 

alternative. NARA will review the 

waiver request and supporting 

documentation. 

(1) If in NARA’s judgment the 

supporting documentation clearly 

supports the claim that the alternative is 

equivalent or superior to the NARA 

requirement, NARA will grant the 

waiver and notify the requesting agency 

within 30 calendar days. 

(2) If NARA questions whether 

supporting documentation demonstrates 

that the proposed alternative offers at 

least equal protection to Federal 

records, NARA will consult the 

appropriate industry standards body or 

other qualified expert before making a 

determination. NARA will notify the 

requesting agency within 30 calendar 

days of receipt of the request that 

consultation is necessary and will 

provide a final determination within 60 

calendar days. If NARA does not grant 

the waiver, NARA will furnish a full 

explanation of the reasons for its 

decision. 

(b) Waiver of new requirement for 

existing agency records center. NARA 

will review the agency’s waiver request 

and plan to bring the facility into 

compliance. 

(1) NARA will approve the request 

and plan within 30 calendar days if 

NARA judges the planned actions and 

time frames for bringing the facility into 

compliance are reasonable. 

(2) If NARA questions the feasibility 

or reasonableness of the plan, NARA 

will work with the agency to develop a 

revised plan that NARA can approve 

and the agency can implement. NARA 

may grant a short-term temporary 

waiver, not to exceed 180 calendar days, 

while the revised plan is under 

development. 

(c) Waiver of roof requirements for 

underground storage facilities. NARA 

will normally grant the waiver and 

notify the requesting agency within 10 

work days if the agency has not also 

requested a waiver of a different 

requirement under § 1234.30. If the 

agency has another waiver request 

pending for the same facility, NARA 

will respond to all of the waiver 

requests at the same time and within the 

longest time limits. 

Subpart D—Facility Approval and 

Inspection Requirements 

§ 1234.30 How does an agency request 

authority to establish or relocate records 

storage facilities? 

(a) General policy. Agencies are 

responsible for ensuring that records in 

their legal custody are stored in 

appropriate space as outlined in this 

part. Under § 1232.18(a), agencies are 

responsible for initiating action to 

remove records from space that does not 

meet these standards if deficiencies are 

not corrected within 6 months after 

initial discovery of the deficiencies by 

NARA or the agency and to complete 

removal of the records within 18 

months after initial discovery of the 

deficiencies. 

(1) Agency records centers. Agencies 

must obtain prior written approval from 

NARA before establishing or relocating 

an agency records center. Each separate 

agency records center must be 

specifically approved by NARA prior to 

the transfer of any records to that 

individual facility. If an agency records 

center has been approved for the storage 

of Federal records of one agency, any 

other agency that proposes to store its 

records in that facility must still obtain 

NARA approval to do so. 

(2) Commercial records storage 

facilities. An agency may contract for 

commercial records storage services. 

However, before any agency records are 

transferred to a commercial records 

storage facility, the transferring agency 

must ensure that the facility meets all of 

the requirements for an agency records 

storage facility set forth in this subpart 

and must submit the documentation 

required in paragraph (e) of this section. 

(b) Exclusions. For purposes of this 

section, the term ‘‘agency records 

center’’ excludes NARA-owned and 

operated records centers. For purposes 

of this section and § 1234.34, the term 

‘‘agency records center’’ also excludes 

agency records staging and/or holding 

areas with a capacity for containing less 

than 25,000 cubic feet of records. 

However, such records centers and 

areas, including records centers 

operated and maintained by NARA, 

must comply with the facility standards 

in §§ 1234.10 through 1234.14. 

(c) Content of requests for agency 

records centers. Requests for authority 

to establish or relocate an agency 

records center, or to use an agency 

records center operated by another 

agency, must be submitted in writing to 

the Director, Space and Security 

Management Division (NAS), National 

Archives and Records Administration, 

8601 Adelphi Road, College Park, MD 

20740–6001, phone number (301) 837– 

1867. The request must identify the 

specific facility and, for requests to 

establish or relocate the agency’s own 

records center, document compliance 

with the standards in this subpart. 

Documentation requirements for 

§ 1234.12(s) are specified in § 1234.32. 

(d) Approval of requests for agency 

records centers. NARA will review the 

submitted documentation to ensure the 

facility demonstrates full compliance 

with the standards in this subpart. 

NARA reserves the right to visit the 

facility, if necessary, to make the 

determination of compliance. NARA 

will inform the agency of its decision 

within 45 calendar days after the 

request is received, and will provide the 

agency information on the areas of 

noncompliance if the request is denied. 

Requests will be denied only if NARA 

determines that the facility does not 

demonstrate full compliance with the 

standards in this subpart. Approvals 


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will be valid for a period of 10 years, 

unless the facility is materially changed 

before then or an agency or NARA 

inspection finds that the facility does 

not meet the standards in this subpart. 

Material changes require submission of 

a new request for NARA approval. 

(e) Documentation requirements for 

storing Federal records in commercial 

records storage facilities. At least 45 

calendar days before an agency first 

transfers records to a commercial 

records storage facility, the agency must 

submit documentation to NARA that the 

facility complies with the standards in 

this subpart. The documentation may 

take the form of a copy of the agency’s 

contract that incorporates this subpart 

in its provisions or a statement from the 

agency records officer that certifies that 

the facility meets the standards in this 

subpart. An agency must provide the 

documentation for each separate 

commercial records storage facility 

where its records will be stored. 

Documentation must be sent to the 

Director, Space and Security 

Management Division (NAS), National 

Archives and Records Administration, 

8601 Adelphi Road, College Park, MD 

20740–6001, phone number (301) 837– 

1867. The agency must submit updated 

documentation to NARA every 10 years 

if it continues to store records in that 

commercial records storage facility. 

§ 1234.32 What does an agency have to do 

to certify a fire-safety detection and 

suppression system? 

(a) Content of documentation. The 

agency must submit documentation to 

the Director, Space and Security 

Management Division (NAS), National 

Archives and Records Administration, 

8601 Adelphi Road, College Park, MD 

20740–6001, phone number (301) 837– 

1867, that describes the space being 

protected (e.g., the type and stacking 

height of the storage equipment used, or 

how the space is designed, controlled, 

and operated) and the characteristics of 

the fire-safety detection and suppression 

system used. The documentation must 

demonstrate how that system meets the 

requirement in § 1234.12(s) through: 

(1) A statement that the facility is 

using a NARA certified system as 

described in Appendix B to this part; 

(2) A report of the results of 

independent live fire testing (Factory 

Mutual, Underwriters Laboratories or 

Southwest Research Institute); or 

(3) A report under seal of a licensed 

fire protection engineer that: 

(i) Describes the design intent of the 

fire suppression system to limit the 

maximum anticipated loss in any single 

fire event involving a single ignition and 

no more than 8 fluid ounces of 

petroleum-type hydrocarbon accelerant 

(such as, for example, heptanes or 

gasoline) to a maximum of 300 cubic 

feet of Federal records destroyed by fire. 

The report need not predict a maximum 

single event loss at any specific number, 

but rather should describe the design 

intent of the fire suppression system. 

The report may make reasonable 

engineering and other assumptions such 

as that the fire department responds 

within XX minutes (the local fire 

department’s average response time) 

and promptly commences suppression 

actions. In addition, any report prepared 

under this paragraph should assume 

that the accelerant is saturated in a 

cotton wick that is 3 inches in diameter 

and 6 inches long and sealed in a plastic 

bag and that the fire is started in an aisle 

at the face of a carton at floor level. 

Assumptions must be noted in the 

report; 

(ii) Details the characteristics of the 

system; and 

(iii) Describes the specific measures 

beyond the minimum features required 

by the applicable building code that 

have been incorporated to limit 

destruction of records. The report 

should make specific references to 

industry standards used in the design, 

such as those issued by the National 

Fire Protection Association, and any 

testing or modeling or other sources 

used in the design. 

(b) NARA action. (1) NARA will 

approve the fire-safety detection and 

suppression system within 10 work 

days if NARA has previously approved 

the system design for similarly 

configured space or if a report of 

independent testing of a new system 

design is furnished as documentation. 

(2) If, in NARA’s judgment, the 

supporting documentation provided in 

accordance with paragraph (a)(3) of this 

section clearly demonstrates compliance 

with § 1234.12(s), NARA will approve 

the fire-safety detection and suppression 

system within 30 calendar days. 

(3) If NARA questions whether 

supporting documentation demonstrates 

compliance with § 1234.12(s), NARA 

will consult the appropriate industry 

standards body or other qualified expert 

before making a determination. Before 

any consultation, NARA may ask the 

agency for additional clarifying 

information. NARA will notify the 

requesting agency within 30 calendar 

days of receipt of the request that 

consultation is necessary and will 

provide a final determination within 60 

calendar days. If NARA does not 

approve the system, NARA will furnish 

a full explanation of the reasons for its 

decision. 

(4) NARA will maintain a list of 

approved alternative systems. 

§ 1234.34 When may NARA conduct an 

inspection of a records storage facility? 

(a) At the time an agency submits a 

request to establish an agency records 

center, pursuant to § 1234.30, NARA 

may conduct an inspection of the 

proposed facility to ensure that the 

facility complies fully with the 

standards in this subpart. NARA may 

also conduct periodic inspections of 

agency records centers so long as such 

facility is used as an agency records 

center. NARA will inspect its own 

records center facilities on a periodic 

basis to ensure that they are in 

compliance with the requirements of 

this subpart. 

(b) Agencies must ensure, by contract 

or otherwise, that agency and NARA 

officials, or their delegates, have the 

right to inspect commercial records 

storage facilities to ensure that such 

facilities fully comply with the 

standards in this subpart. NARA may 

conduct periodic inspections of 

commercial records storage facilities so 

long as agencies use such facilities to 

store agency records. The using agency, 

not NARA, will be responsible for 

paying any fee or charge assessed by the 

commercial records storage facility for 

NARA’s conducting an inspection. 

(c) NARA will contact the agency 

operating the records center or the 

agency holding a contract with a 

commercial records storage facility in 

advance to set a date for the inspection. 

Appendix A to Part 1234—Minimum 

Security Standards for Level III Federal 

Facilities 


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RECOMMENDED STANDARDS CHART

[Reproduced from Section 2.3 (pp. 2–6 through 2–9) of U.S. Department of Justice, United States Marshals Service report Vulnerability 

Assessment of Federal Facilities] 

Level III 

Perimeter Security 

Parking: 

Control of facility parking ........................................................................................................................................................... Required. 

Control of adjacent parking ....................................................................................................................................................... Desirable. 

Avoid leases where parking cannot be controlled .................................................................................................................... Desirable. 

Leases should provide security control for adjacent parking .................................................................................................... Desirable. 

Post signs and arrange for towing unauthorized vehicles ........................................................................................................ Required. 

ID system and procedures for authorized parking (placard, decal, card key, etc.) .................................................................. Required. 

Adequate lighting for parking areased ...................................................................................................................................... Required. 

Closed Circuit Television (CCTV) Monitoring: 

CCTV surveillance cameras with time lapse video recording .................................................................................................. Recommended. 

Post signs advising of 24 hour video surveillance ........................................................................................................................... Recommended. 

Lighting: 

Lighting with emergency power backup .................................................................................................................................... Required. 

Physical Barriers: 

Extend physical perimeter with barriers (concrete and/or steel composition) .......................................................................... Desirable. 

Parking barriers ......................................................................................................................................................................... Desirable. 

Entry Security 

Receiving/Shipping: 

Review receiving/shipping procedures (current) ....................................................................................................................... Required. 

Implement receiving/shipping procedures (modified) ................................................................................................................ Required. 

Access Control: 

Evaluate facility for security guard requirements ...................................................................................................................... Required. 

Security guard patrol ................................................................................................................................................................. Recommended. 

Intrusion detection system with central monitoring capability ................................................................................................... Required. 

Upgrade to current life safety standards (fire detection, fire suppression systems, etc.) ........................................................ Required. 

Entrances/Exits: 

X-ray & magnetometer at public entrances .............................................................................................................................. Recommended. 

Require x-ray screening of all mail/packages ........................................................................................................................... Recommended. 

High security locks .................................................................................................................................................................... Required. 

Interior Security 

Employee/Visitor Identification: 

Agency photo ID for all personnel displayed at all times ......................................................................................................... Recommended. 

Visitor control/screening system ................................................................................................................................................ Required. 

Visitor identification accountability system ................................................................................................................................ Recommended. 

Establish ID issuing authority .................................................................................................................................................... Recommended. 

Utilities: 

Prevent unauthorized access to utility areas ............................................................................................................................ Required. 

Provide emergency power to critical systems (alarm systems, radio communications, computer facilities, etc.) ................... Required. 

Occupant Emergency Plans: 

Examine occupant emergency plans (OEP) and contingency procedures based on threats .................................................. Required. 

OEPs in place, updated annually, periodic testing exercise ..................................................................................................... Required. 

Assign & train OEP officials (assignment based on largest tenant in facility) .......................................................................... Required. 

Annual tenant training ............................................................................................................................................................... Required. 

Daycare Centers: 

Evaluate whether to locate daycare facilities in buildings with high threat activities ............................................................... Required. 

Compare feasibility of locating daycare in outside locations .................................................................................................... Required. 

Security Planning 

Intelligence Sharing: 

Establish law enforcement agency/security liaisons ................................................................................................................. Required. 

Review/establish procedure for intelligence receipt/dissemination ........................................................................................... Required. 

Establish uniform security/threat nomenclature ........................................................................................................................ Required. 

Training: 

Conduct annual security awareness training ............................................................................................................................ Required. 

Establish standardized unarmed guard qualifications/training requirements ............................................................................ Required. 

Establish standardized armed guard qualifications/training requirements ................................................................................ Required. 

Tenant Assignment: 

Co-locate agencies with similar security needs ........................................................................................................................ Desirable. 

Do not co-locate high/low risk agencies ................................................................................................................................... Desirable. 

Administrative Procedures: 

Establish flexible work schedule in high threat/high risk areas to minimize employee vulnerability to criminal activity .......... Desirable. 

Arrange for employee parking in/near building after normal work hours ................................................................................. Recommended. 

Conduct background security checks and/or establish security control procedures for service contract personnel ............... Required. 


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Federal Register / Vol. 74, No. 190 / Friday, October 2, 2009 / Rules and Regulations 51041 

RECOMMENDED STANDARDS CHART—Continued 

[Reproduced from Section 2.3 (pp. 2–6 through 2–9) of U.S. Department of Justice, United States Marshals Service report Vulnerability 

Assessment of Federal Facilities] 

Level III 

Construction/Renovation: 

Install mylar film on all exterior windows (shatter protection) ................................................................................................... Recommended. 

Review current projects for blast standards .............................................................................................................................. Required. 

Review/establish uniform standards for construction ................................................................................................................ Required. 

Review/establish new design standard for blast resistance ..................................................................................................... Required. 

Establish street set-back for new construction ......................................................................................................................... Recommended. 

TERMS AND DEFINITIONS IN RECOMMENDED STANDARDS CHART

[Reproduced from Appendix B, Details of Recommended Security Standards, U.S. Department of Justice, United States Marshals Service report 

Vulnerability Assessment of Federal Facilities] 

Term Definition/description 

B.1 Perimeter Security 

Parking 

Control of Facility Parking .................................. Access to government parking should be limited where possible to government vehicles and 

personnel. At a minimum, authorized parking spaces and vehicles should be assigned and 

identified. 

Control of Adjacent Parking ................................ Where feasible, parking areas adjacent to federal space should also be controlled to reduce 

the potential for threats against Federal facilities and employee exposure to criminal activity. 

Avoid Leases Where Parking Cannot Be Controlled.Avoid leasing facilities where parking cannot be controlled. If necessary, relocate offices to facilities that do provide added security through regulated parking. 

Lease Should Provide Control for Adjacent 

Parking.

Endeavor to negotiate guard services as part of lease. 

Post Signs and Arrange for Towing Unauthorized Vehicles.Procedures should be established and implemented to alert the public to towing policies, and 

the removal of unauthorized vehicles. 

ID System and Procedures for Authorized Parking.Procedures should be established for identifying vehicles and corresponding parking spaces 

(placard, decal, card key, etc.) 

Adequate Lighting for Parking Areas ................. Effective lighting provides added safety for employees and deters illegal or threatening activities. 

Closed circuit television (CCTV) monitoring 

CCTV Surveillance Cameras With Time Lapse 

Video Recording.

Twenty-four hour CCTV surveillance and recording is desirable at all locations as a deterrent. 

Requirements will depend on assessment of the security level for each facility. Time-lapse 

video recordings are also highly valuable as a source of evidence and investigative leads. 

Post Signs Advising of 24 Hour Video Surveillance.Warning signs advising of twenty-four hour surveillance act as a deterrent in protecting employees and facilities. 

Lighting 

Lighting with Emergency Power Backup ............ Standard safety code requirement in virtually all areas. Provides for safe evacuation of buildings in case of natural disaster, power outage, or criminal/terrorist activity. 

Physical Barriers 

Extend Physical Perimeter, With Barriers .......... This security measure will only be possible in locations where the Government controls the 

property and where physical constraints are not present. (barriers of concrete and/or steel 

composition) 

Parking Barriers .................................................. Desirable to prevent unauthorized vehicle access. 

B.2 Entry Security 

Receiving/Shipping 

Review Receiving/Shipping Procedures (Current).Audit current standards for package entry and suggest ways to enhance security. 

Implement Receiving/Shipping Procedures 

(Modified).

After auditing procedures for receiving/shipping, implement improved procedures for security 

enhancements. 

Access Control 

Evaluate Facility for Security Guard Requirements.If security guards are required, the number of guards at any given time will depend on the size 

of the facility, the hours of operation, and current risk factors, etc. 

Security Guard Patrol ......................................... Desirable for level I and II facilities and may be included as lease option. Level III, IV and V 

facilities will have security guard patrol based on facility evaluation. 

Intrusion Detection System With Central Monitoring Capability.Desirable in Level I facilities, based on evaluation for Level II facilities, and required for Levels 

III, IV and V. 


pwalker on DSK8KYBLC1PROD with RULES2
51042 Federal Register / Vol. 74, No. 190 / Friday, October 2, 2009 / Rules and Regulations 

TERMS AND DEFINITIONS IN RECOMMENDED STANDARDS CHART—Continued 

[Reproduced from Appendix B, Details of Recommended Security Standards, U.S. Department of Justice, United States Marshals Service report 

Vulnerability Assessment of Federal Facilities] 

Term Definition/description 

Upgrade to Current Life Safety Standards ......... Required for all facilities as part of GSA design requirements, (e.g. fire detection, fire suppression systems, etc.) 

Entrances/Exits 

X-Ray and Magnetometer at Public Entrances .. May be impractical for Level I and II facilities. Level III and IV evaluations would focus on tenant agencies, public interface, and feasibility. Required for Level V. 

Require X-Ray Screening of all Mail/Packages All packages entering building should be subject to x-ray screening and/or visual inspection. 

High Security Locks ............................................ Any exterior entrance should have a high security lock as determined by GSA specifications 

and/or agency requirements. 

B.3 Interior Security 

Employee/Visitor Identification 

Agency Photo ID for all Personnel Displayed At 

All Times.

May not be required in smaller facilities. 

Visitor Control/Security System .......................... Visitors should be readily apparent in Level I facilities. Other facilities may ask visitors to signin with a receptionist or guard, or require an escort, or formal identification/badge. 

Visitor Id Accountability System ......................... Stringent methods of control over visitor badges will ensure that visitors wearing badges have 

been screened and are authorized to be at the facility during the appropriate time frame. 

Establish Id Issuing Authority ............................. Develop procedures and establish authority for issuing employee and visitor IDs. 

Utilities 

Prevent Unauthorized Access to Utility Areas ... Smaller facilities may not have control over utility access, or locations of utility areas. Where 

possible, assure that utility areas are secure and that only authorized personnel can gain 

entry. 

Provide Emergency Power To Critical Systems Tenant agency is responsible for determining which computer and communication systems require back-up power. All alarm systems, CCTV monitoring devices, fire detection systems, 

entry control devices, etc. require emergency power sources. (Alarm Systems, Radio Communications, Computer Facilities, Etc.) 

Occupant Emergency Plans 

Examine Occupant Emergency Plan (OEP) and 

Contingency Procedures Based on Threats.

Review and update current OEP procedures for thoroughness. OEPs should reflect the current 

security climate. 

Assign and Train OEP Officials .......................... Assignment based on GSA requirement that largest tenant in facility maintain OEP responsibility. Officials should be assigned, trained and a contingency plan established to provide for 

the possible absence of OEP officials in the event of emergency activation of the OEP. 

Annual Tenant Training ...................................... All tenants should be aware of their individual responsibilities in an emergency situation. 

Day Care Center 

Re-Evaluate Current Security and Safety Standards.Conduct a thorough review of security and safety standards. 

Assess Feasibility of Locating Day Care Within 

Federal Facility.

If a facility is being considered for a day care center, an evaluation should be made based on 

the risk factors associated with tenants and the location of the facility. 

B.4 Security Planning 

Intelligence Sharing 

Establish Law Enforcement Agency/Security Liaisons.Intelligence sharing between law enforcement agencies and security organizations should be 

established in order to facilitate the accurate flow of timely and relevant information between 

appropriate government agencies. Agencies involved in providing security must be part of 

the complete intelligence process. 

Review/Establish Procedures for Intelligence 

Receipt/Dissemination.

Determine what procedures exist to ensure timely delivery of critical intelligence. Review and 

improve procedures to alert agencies and specific targets of criminal/terrorist threats. Establish standard administrative procedures for response to incoming alerts. Review flow of information for effectiveness and time critical dissemination. 

Establish Uniform Security/Threat Nomenclature To facilitate communication, standardized terminology for Alert Levels should be implemented. 

(Normal, Low, Moderate, and High—As recommended by Security Standards Committee) 

Training 

Conduct Annual Security Awareness Training ... Provide security awareness training for all tenants. At a minimum, self-study programs utilizing 

videos, and literature, etc. should be implemented. These materials should provide up-todate information covering security practices, employee security awareness, and personal 

safety, etc. 


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Federal Register / Vol. 74, No. 190 / Friday, October 2, 2009 / Rules and Regulations 51043 

TERMS AND DEFINITIONS IN RECOMMENDED STANDARDS CHART—Continued 

[Reproduced from Appendix B, Details of Recommended Security Standards, U.S. Department of Justice, United States Marshals Service report 

Vulnerability Assessment of Federal Facilities] 

Term Definition/description 

Establish Standardized Armed And Unarmed 

Guard Qualifications/Training Requirements.

Requirements for these positions should be standardized government wide. 

Tenant Assignment 

Co-Locate Agencies With Similar Security 

Needs.

To capitalize on efficiencies and economies, agencies with like security requirements should 

be located in the same facility if possible. 

Do Not Co-Locate High/Low Risk Agencies ...... Low risk agencies should not take on additional risk by being located with high risk agencies. 

Administrative Procedures 

Establish Flexible Work Schedule in High 

Threat/High Risk Area to Minimize Employee 

Vulnerability to Criminal Activity.

Flexible work schedules can enhance employee safety by staggering reporting and departure 

times. As an example flexible schedules might enable employees to park closer to the facility by reducing the demand for parking at peak times of the day. 

Arrange for Employee Parking In/Near Building 

After Normal Work Hours.

Minimize exposure to criminal activity by allowing employees to park at or inside the building. 

Conduct Background Security Checks and/or 

Establish Security Control Procedures for 

Service Contract Personnel.

Establish procedures to ensure security where private contract personnel are concerned. Procedures may be as simple as observation or could include sign-in/escort. Frequent visitors 

may necessitate a background check with contractor ID issued. 

Construction/Renovation 

Install Mylar Film on All Exterior Windows 

(Shatter Protection).

Application of shatter resistant material to protect personnel and citizens from the hazards of 

flying glass as a result of impact or explosion. 

Review Current Projects For Blast Standards ... Design and construction projects should be reviewed if possible, to incorporate current technology and blast standards. Immediate review of ongoing projects may generate savings in 

the implementation of upgrading to higher blast standards prior to completion of construction. 

Review/Establish Uniform Standards For Construction.Review, establish, and implement uniform construction standards as it relates to security considerations. 

Review/Establish New Design Standard for 

Blast RESISTANCE.

In smaller facilities or those that lease space, control over design standards may not be possible. However, future site selections should attempt to locate in facilities that do meet 

standards. New construction of government controlled facilities should review, establish, and 

implement new design standards for blast resistance. 

Establish Street Set-Back for New Construction Every foot between a potential bomb and a building will dramatically reduce damage and increase the survival rate. Street set-back is always desirable, but should be used in conjunction with barriers in Level IV and V facilities. 

(Reproduced from Appendix C, Classification Table, U.S. Department of Justice, United States Marshals Service report Vulnerability Assessment 

of Federal Facilities) 

Level Typical location 

III ......................................................................... Agency Mix: Government Records. 

Appendix B to Part 1234—Alternative 

Certified Fire-Safety Detection and 

Suppression System(s) 

1. General. This Appendix B contains 

information on the Fire-safety Detection and 

Suppression System(s) tested by NARA 

through independent live fire testing that are 

certified to meet the requirement in 

§ 1234.12(s) for storage of Federal Records. 

Use of a system specified in this appendix is 

optional. A facility may choose to have an 

alternate fire-safety detection and 

suppression system approved under 

§ 1234.32). 

2. Specifications for NARA facilities using 

15 foot high records storage. NARA firesafety systems that incorporate all 

components specified in paragraphs 2.a. 

through n. of this appendix have been tested 

and certified to meet the requirements in 

§ 1234.12(s) for an acceptable fire-safety 

detection and suppression system for storage 

of Federal records. 

a. The records storage height must not 

exceed the nominal 15 feet (+/¥3 inches) 

records storage height. 

b. All records storage and adjoining areas 

must be protected by automatic wet-pipe 

sprinklers. Automatic sprinklers are specified 

herein because they provide the most 

effective fire protection for high piled storage 

of paper records on open type shelving. 

c. The sprinkler system must be rated at no 

higher than 285 degrees Fahrenheit utilizing 

quick response (QR) fire sprinkler heads and 

designed by a licensed fire protection 

engineer to provide the specified density for 

the most remote 1,500 square feet of floor 

area at the most remote sprinkler head in 

accordance with NFPA 13 (incorporated by 

reference, see § 1234.3). For facilities with 

roofs rated at 15 minutes or greater, provide 

1⁄2′′ QR sprinklers rated at no higher than 285 

degrees Fahrenheit designed to deliver a 

density of 0.30 gpm per square foot. For 

unrated roofs, provide 0.64′′ QR ‘‘large drop’’ 

sprinklers rated at no higher than 285 degrees 

Fahrenheit. For facilities using 7 or 8 shelf 

track files, use QR sprinklers rated at no 

higher than 285 degrees Fahrenheit. For new 

construction and replacement sprinklers, 

NARA recommends that the sprinklers be 

rated at 165 degrees Fahrenheit. Installation 

of the sprinkler system must be in 

accordance with NFPA 13 (incorporated by 

reference, see § 1234.3). 

d. Maximum spacing of the sprinkler heads 

must be on a 10-foot grid and the positioning 

of the heads must provide complete, 

unobstructed coverage, with a clearance of 

not less than 18 inches from the top of the 

highest stored materials. 

e. The sprinkler system must be equipped 

with a water-flow alarm connected to an 

audible alarm within the facility and to a 

continuously staffed fire department or an 

Underwriters Laboratory approved central 


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monitoring station (see UL 827 (incorporated 

by reference, see § 1234.3)) with 

responsibility for immediate response. 

f. A manual fire alarm system must be 

provided with a Underwriters Laboratory 

approved (grade A) central monitoring 

station service or other automatic means of 

notifying the municipal fire department. A 

manual alarm pull station must be located 

adjacent to each exit. Supplemental manual 

alarm stations are permitted within the 

records storage areas. 

g. All water cutoff valves in the sprinkler 

system must be equipped with automatic 

closure alarm (tamper alarm) connected to a 

continuously staffed station, with 

responsibility for immediate response. If the 

sprinkler water cutoff valve is located in an 

area used by the public, in addition to the 

tamper alarm, the valves must be provided 

with frangible (easily broken) padlocks. 

h. A dependable water supply free of 

interruption must be provided including a 

continuous site fire loop connected to the 

water main and sized to support the facility 

with only one portion of the fire loop 

operational. This normally requires a backup 

supply system having sufficient pressure and 

capacity to meet both fire hose and sprinkler 

requirements for 2-hours. A fire pump 

connected to an emergency power source 

must be provided in accordance with NFPA 

20 (incorporated by reference, see § 1234.3), 

when adequate water pressure is not assured. 

In the event that public water mains are not 

able to supply adequate volumes of water to 

the site, on-site water storage must be 

provided. 

i. Interior fire hose stations equipped with 

a 11⁄2 inch diameter hose may be provided in 

the records storage areas if required by the 

local fire department, enabling any point in 

the records storage area to be reached by a 

50-foot hose stream from a 100-foot hose lay. 

If provided, these cabinets must be marked 

‘‘For Fire Department Use Only.’’ 

j. Where fire hose cabinets are not required, 

fire department hose outlets must be 

provided at each floor landing in the building 

core or stair shaft. Hose outlets must have an 

easily removable adapter and cap. Threads 

and valves must be compatible with the local 

fire department’s equipment. Spacing must 

be so that any point in the record storage area 

can be reached with a 50-foot hose stream 

from a 100-foot hose lay. 

k. In addition to the designed sprinkler 

flow demand, 500 gpm must be provided for 

hose stream demand. The hose stream 

demand must be calculated into the system 

at the base of the main sprinkler riser. 

l. Fire hydrants must be located within 250 

feet of each exterior entrance or other access 

to the records storage facility that could be 

used by firefighters. Each required hydrant 

must provide a minimum flow capacity of 

500 gpm at 20 psi. All hydrants must be at 

least 50 feet away from the building walls 

and adjacent to a roadway usable by fire 

apparatus. Fire hydrants must have at least 

two, 21⁄2 inch hose outlets and a pumper 

connection. All threads must be compatible 

with local standards. 

m. Portable water-type fire extinguishers 

(21⁄2 gallon stored pressure type) must be 

provided at each fire alarm striking station. 

The minimum number and locations of fire 

extinguishers must be as required by NFPA 

10 (incorporated by reference, see § 1234.3). 

n. Single level catwalks without automatic 

sprinklers installed underneath may be 

provided in the service aisles if the edges of 

all files in the front boxes above the catwalks 

are stored perpendicular to the aisle (to 

minimize files exfoliation in a fire). Where 

provided, the walking surface of the catwalks 

must be of expanded metal at least .09-inch 

thickness with a 2-inch mesh length. The 

surface opening ratio must be equal or greater 

than 0.75. The sprinkler water demand for 

protection over bays with catwalks where 

records above the catwalks are not 

perpendicular to the aisles must be 

calculated hydraulically to give .30 gpm per 

square foot for the most remote 2,000 square 

feet. 

PART 1235—TRANSFER OF RECORDS 

TO THE NATIONAL ARCHIVES OF THE 

UNITED STATES 

Subpart A—General Transfer Requirements 

Sec. 

1235.1 What are the authorities for part 

1235? 

1235.2 What definitions apply to this part? 

1235.3 What standards are used as guidance 

for this part? 

1235.4 What publications are incorporated 

by reference in this part? 

1235.10 What records do agencies transfer 

to the National Archives of the United 

States? 

1235.12 When must agencies transfer 

records to the National Archives of the 

United States? 

1235.14 May agencies retain records for the 

conduct of regular agency business after 

they are eligible for transfer? 

1235.16 How will NARA respond to an 

agency’s request to retain records? 

1235.18 How do agencies transfer records to 

the National Archives of the United 

States? 

1235.20 How do agencies indicate that 

transferred records contain information 

that is restricted from public access? 

1235.22 When does legal custody of records 

transfer to NARA? 

Subpart B—Administration of Transferred 

Records 

1235.30 How may records in the National 

Archives of the United States be used? 

1235.32 How does NARA handle 

restrictions on transferred records? 

1235.34 May NARA destroy transferred 

records? 

Subpart C—Transfer Specifications and 

Standards 

1235.40 What records are covered by 

additional transfer requirements? 

1235.42 What specifications and standards 

for transfer apply to audiovisual, 

cartographic, and related records? 

1235.44 What general transfer requirements 

apply to electronic records? 

1235.46 What electronic media may be used 

for transferring records to the National 

Archives of the United States? 

1235.48 What documentation must agencies 

transfer with electronic records? 

1235.50 What specifications and standards 

for transfer apply to electronic records? 

Authority: 44 U.S.C. 2107 and 2108. 

Subpart A—General Transfer 

Requirements 

§ 1235.1 What are the authorities for part 

1235? 

The statutory authorities for this part 

are 44 U.S.C. 2107 and 2108. 

§ 1235.2 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used in part 1235. 

§ 1235.3 What standards are used as 

guidance for this part? 

These regulations conform to 

guidance provided in ISO 15489– 

1:2001. Paragraphs 8.3 (Designing and 

implementing records systems), 9.6 

(Storage and handling), and 9.7 (Access) 

are particularly relevant to this part. 

§ 1235.4 What publications are 

incorporated by reference in this part? 

(a) Certain material is incorporated by 

reference into this part with the 

approval of the Director of the Federal 

Register under 5 U.S.C. 552(a) and 1 

CFR part 51. To enforce any edition 

other than that specified in this section, 

the NARA must publish notice of 

change in the Federal Register and the 

material must be available to the public. 

All approved material is available for 

inspection at the Office of the Federal 

Register. For information on the 

availability of this material at the Office 

of the Federal Register, call 202–741– 

6030 or go to http://www.archives.gov/ 

federal_register/ 

code_of_federal_regulations/ 

ibr_locations.html. 

(b) The material incorporated by 

reference is also available for inspection 

at NARA’s Archives Library Information 

Center (NWCCA), Room 2380, 8601 

Adelphi Road, College Park, MD 20740– 

6001, phone number (301) 837–3415, 

and is available for purchase from the 

sources listed below. If you experience 

difficulty obtaining the standards 

referenced below, contact National 

Archives and Records Administration, 

Electronic/Special Media Records 

Services Division (NWME), 8601 

Adelphi Road, College Park, MD 20740, 

phone number (301) 837–1578. 

(c) International Organization for 

Standards (ISO). The following ISO 

standards are available from the 

American National Standards Institute, 

25 West 43rd St., 4th Floor, New York, 

NY 10036, phone number (212) 642– 

4900, or online at http:// 

webstore.ansi.org. 


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(1) ISO/IEC 15896:1999 (‘‘ISO/IEC 

15896’’), Information technology—Data 

interchange on 12,7 mm 208-track 

magnetic tape cartridges—DLT 5 format, 

First Edition, December 15, 1999, IBR 

approved for § 1235.46. 

(2) ISO/IEC 16382:2000 (‘‘ISO/IEC 

16382’’), Information technology—Data 

interchange on 12,7 mm 208-track 

magnetic tape cartridges—DLT 6 format, 

First Edition, May 15, 2000, IBR 

approved for § 1235.46. 

(d) Document Engineering Co., Inc. 

The following standards are available 

from the standards reseller DECO— 

Document Engineering Co., Inc., 15210 

Stagg Street, Van Nuys, CA, phone 

number (818) 782–1010, or online at 

http://www.doceng.com: 

(1) ANSI X3.39–1986 (‘‘ANSI X3.39’’), 

American National Standard: Recorded 

Magnetic Tape for Information 

Interchange (1600 CPI, PE), 1986, IBR 

approved for § 1235.46. 

(2) [Reserved] 

(e) The following standards are not 

available from the original publisher or 

a standards reseller. As indicated in 

paragraph (b) of this section, the 

standards are available for inspection at 

the NWCCA. In order to inspect the 

standards at a NARA location other than 

the NARA facility in College Park, MD, 

please contact the NWCCA, Room 2380, 

8601 Adelphi Road, College Park, MD 

20740–6001, phone number (301) 837– 

3415 or e-mail your request to 

alic@nara.gov. 

(1) ANSI X3.54–1986 (‘‘ANSI X3.54’’), 

American National Standard: Recorded 

Magnetic Tape for Information 

Interchange (6250 CPI, Group Coded 

Recording), 1986, IBR approved for 

§ 1235.46. 

(2) ANSI X3.180–1990 (‘‘ANSI 

X3.180’’), American National Standard: 

Magnetic Tape and Cartridge for 

Information Interchange—18-Track, 

Parallel, 1⁄2 inch (12.65 mm), 37871 cpi 

(1491 cpmm), Group-Coded— 

Requirements for Recording, 1990, IBR 

approved for § 1235.46. 

(3) ANSI/NISO/ISO 9660–1990 

(‘‘ANSI/NISO/ISO 9660’’), American 

National Standard for Volume and File 

Structure of CD–ROM for Information 

Exchange, 1990, IBR approved for 

§ 1235.46. 

(4) ISO/IEC 15307:1997 (‘‘ISO/IEC 

15307’’), Information technology—Data 

interchange on 12,7 mm 128-track 

magnetic tape cartridges—DLT 4 format, 

First Edition, December 1, 1997, IBR 

approved for § 1235.46. 

§ 1235.10 What records do agencies 

transfer to the National Archives of the 

United States? 

Agencies must transfer to the National 

Archives of the United States records 

that have been scheduled as permanent 

on an SF 115, Request for Records 

Disposition Authority, records that are 

designated as permanent in a GRS; and, 

when appropriate, records that are 

accretions to holdings (continuations of 

series already accessioned.) 

§ 1235.12 When must agencies transfer 

records to the National Archives of the 

United States? 

Permanent records must be 

transferred to the National Archives of 

the United States when: 

(a) The records are eligible for transfer 

based on the transfer date specified in 

a NARA-approved records schedule, or 

(b) The records have been in existence 

for more than 30 years (see also 

§ 1235.14). 

§ 1235.14 May agencies retain records for 

the conduct of regular agency business 

after they are eligible for transfer? 

(a) Agencies may retain records longer 

than specified on a records disposition 

schedule only with written approval 

from NARA. 

(b) If the agency determines that the 

records are needed for the conduct of 

regular business, the records officer 

must submit to the National Archives 

and Records Administration, Modern 

Records Programs (NWM), 8601 

Adelphi Road, College Park, MD 20740– 

6001, phone number (301) 837–1738, a 

written request certifying continuing 

need. This certification must: 

(1) Include a comprehensive 

description and location of records to be 

retained; 

(2) Cite the NARA-approved 

disposition authority; 

(3) Describe the current business for 

which the records are required; 

(4) Estimate the length of time the 

records will be needed (if no date is 

provided by the agency, approved 

certification requests will be effective 

for a maximum of five years); 

(5) Explain why agency needs cannot 

be met by NARA reference services or 

copies of records deposited in the 

National Archives of the United States; 

and 

(6) If records are retained to enable 

routine public reference by the agency 

rather than NARA, cite the statutory 

authority authorizing this agency 

activity. 

§ 1235.16 How will NARA respond to an 

agency’s request to retain records? 

(a) Approval. NARA will provide 

written approval of the request to retain 

the records for the specified period 

within 30 days of receipt of the request. 

(b) Disapproval. NARA will provide 

written disapproval of an agency’s 

request within 30 days. Requests will be 

denied if the agency is retaining the 

records primarily to: 

(1) Provide access services to persons 

outside the agency that can be provided 

by NARA, or 

(2) Function as an agency archives, 

unless specifically authorized by statute 

or by NARA. 

§ 1235.18 How do agencies transfer 

records to the National Archives of the 

United States? 

Agencies transfer records by 

submitting a signed SF 258, Agreement 

to Transfer Records to the National 

Archives of the United States. Each SF 

258 must correlate to a specific records 

series or other aggregation of records, as 

identified in an item on the SF 115 or 

cited on the SF 258. 

§ 1235.20 How do agencies indicate that 

transferred records contain information that 

is restricted from public access? 

When completing an SF 258, agencies 

must indicate restrictions on the use 

and examination of records and attach 

a written justification. The justification 

must cite the statute or Freedom of 

Information Act (FOIA) exemption (5 

U.S.C. 552(b) as amended), that 

authorizes the restrictions. 

§ 1235.22 When does legal custody of 

records transfer to NARA? 

Legal custody of records passes from 

the agency to NARA when the 

appropriate NARA official signs the SF 

258 acknowledging receipt of the 

records. 

Subpart B—Administration of 

Transferred Records 

§ 1235.30 How may records in the National 

Archives of the United States be used? 

(a) NARA will enforce restrictions 

that are consistent with FOIA (5 U.S.C. 

552(b) as amended) for both official use 

of the records by Federal agencies and 

research by the public. 

(b) NARA regulations in Subchapter C 

of this chapter apply to Federal agency 

personnel using transferred records for 

official Government purposes, and to 

the public at large. 

§ 1235.32 How does NARA handle 

restrictions on transferred records? 

(a) For records less than 30 years old. 

Unless required by law, NARA will 

remove or relax restrictions on 

transferred records less than 30 years 

old only with the written concurrence of 

the transferring agency or, if applicable, 

its successor agency. If the transferring 


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agency no longer exists, and there is no 

successor, the Archivist may relax, 

remove, or impose restrictions to serve 

the public interest. 

(b) For records more than 30 years 

old. 

(1) After records are more than 30 

years old, most statutory and other 

restrictions on transferred records 

expire. NARA, however, after consulting 

with the transferring agency, may keep 

the restrictions in force for a longer 

period. 

(2) See part 1256 of this chapter for 

restrictions on specific categories of 

records, including national security 

classified information and information 

that would invade the privacy of an 

individual that NARA restricts beyond 

30 years. 

§ 1235.34 May NARA destroy transferred 

records? 

NARA will not destroy records 

transferred to NARA’s custody except: 

(a) With the written concurrence of 

the agency or its successor, or 

(b) As authorized on an SF 258. 

Subpart C—Transfer Specifications 

and Standards 

§ 1235.40 What records are covered by 

additional transfer requirements? 

In addition to complying with 

subparts A and B of this part, agencies 

must follow the specifications and 

requirements in this subpart when 

transferring audiovisual, cartographic, 

architectural, and electronic records to 

the National Archives of the United 

States. In general, such records must be 

transferred to the National Archives of 

the United States as soon as they 

become inactive or whenever the agency 

cannot provide proper care and 

handling of the records, including 

adequate storage conditions (see parts 

1236 and 1237 of this subchapter). 

§ 1235.42 What specifications and 

standards for transfer apply to audiovisual 

records, cartographic, and related records? 

In general the physical types 

described below comprise the minimum 

record elements that are needed for 

future preservation, duplication, and 

reference for audiovisual records, 

cartographic records, and related 

records. 

(a) Motion pictures. 

(1) Agency-sponsored or produced 

motion picture films (e.g., public 

information films) whether for public or 

internal use: 

(i) Original negative or color original 

plus separate optical sound track; 

(ii) Intermediate master positive or 

duplicate negative plus optical track 

sound track; and, 

(iii) Sound projection print and video 

recording, if they exist. 

(2) Agency-acquired motion picture 

films: Two projection prints in good 

condition or one projection print and 

one videotape. 

(3) Unedited footage, outtakes, and 

trims (the discards of film productions) 

that are properly arranged, labeled, and 

described and show unstaged, 

unrehearsed events of historical interest 

or historically significant phenomena: 

(i) Original negative or color original; 

and 

(ii) Matching print or videotape. 

(b) Video recordings. 

(1) For videotape, the original or 

earliest generation videotape and a copy 

for reference. Agencies must comply 

with requirements in § 1237.12(d) of 

this subchapter for original videotapes, 

although VHS copies can be transferred 

as reference copies. 

(2) For video discs, the premaster 

videotape used to manufacture the 

video disc and two copies of the disc. 

Agencies must consult the National 

Archives and Records Administration, 

Special Media Archives Services 

Division, (NWCS), 8601 Adelphi Road, 

College Park, MD 20740, phone number 

(301) 837–2903, before initiating 

transfers of video discs that depend on 

interactive software and nonstandard 

equipment. 

(c) Still pictures. 

(1) For analog black-and-white 

photographs, an original negative and a 

captioned print. The captioning 

information may be maintained in 

another file such as a database if the file 

number correlation is clear. If the 

original negative is nitrate, unstable 

acetate, or glass based, the agency must 

also transfer a duplicate negative on a 

polyester base. 

(2) For analog color photographs, the 

original color negative, color 

transparency, or color slide; a captioned 

print (or captioning information 

maintained in another file if the file 

number correlation is clear); and a 

duplicate negative, or slide, or 

transparency, if they exist. 

(3) For slide sets, the original and a 

reference set, and the related audio 

recording (in accordance with paragraph 

(e) of this section) and script. 

(4) For other pictorial records such as 

posters, original art work, and 

filmstrips, the original and a reference 

copy. 

(d) Digital photographic records. See 

36 CFR 1235.48(e) and 1235.50(e) for 

transfer requirements for digital 

photographic records. 

(e) Sound recordings. 

(1) Disc recordings. 

(i) For electronic recordings, the 

origination recording regardless of form 

and two compact discs (CDs) or digital 

video disks (DVDs). 

(ii) For analog disc recordings, the 

master tape and two disc pressings of 

each recording, typically a vinyl copy 

for playback at 331⁄3 revolutions per 

minute (rpm). 

(2) For analog audio recordings on 

magnetic tape (open reel, cassette, or 

cartridge), the original tape, or the 

earliest available generation of the 

recording, and a subsequent generation 

copy for reference. Agencies must 

comply with the requirements in 36 

CFR 1237.12(c) of this subchapter for 

audio recordings. 

(f) Finding aids and production 

documentation. The following records 

must be transferred to the National 

Archives of the United States with the 

audiovisual records to which they 

pertain: 

(1) Existing finding aids such as data 

sheets, shot lists, continuities, review 

sheets, catalogs, indexes, list of 

captions, and other documentation that 

are needed or useful to identify or 

retrieve audiovisual records. Agencies 

must consult the National Archives and 

Records Administration, Special Media 

Archives Services Division (NWCS), 

8601 Adelphi Road, College Park, MD 

20740, phone number (301) 837–2903, 

concerning transfer of finding aids that 

do not meet the requirements of this 

part for electronic records. 

(2) Production case files or similar 

files that include copies of production 

contracts, scripts, transcripts, and 

appropriate documentation bearing on 

the origin, acquisition, release, and 

ownership of the production. 

(g) Maps and charts. 

(1) Manuscript maps; printed and 

processed maps on which manuscript 

changes, additions, or annotations have 

been made for record purposes or which 

bear manuscript signatures to indicate 

official approval; and single printed or 

processed maps that have been attached 

to or interfiled with other documents of 

a record character or in any way made 

an integral part of a record. 

(2) Master sets of printed or processed 

maps issued by the agency. A master set 

must include one copy of each edition 

of a printed or processed map issued. 

(3) Paper copies of computer-related 

and computer-plotted maps that can no 

longer be reproduced electronically. 

(4) Index maps, card indexes, lists, 

catalogs, or other finding aids that may 

be helpful in using the maps transferred. 

(5) Records related to preparing, 

compiling, editing, or printing maps, 

such as manuscript field notebooks of 

surveys, triangulation and other 

geodetic computations, and project 


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folders containing agency specifications 

for creating the maps. 

(h) Aerial photography and remote 

sensing imagery, including: 

(1) Vertical and oblique negative 

aerial film created using conventional 

aircraft. 

(2) Annotated copy negatives, 

internegatives, rectified negatives, and 

glass plate negatives from vertical and 

oblique aerial film created using 

conventional aircraft. 

(3) Annotated prints from aerial film 

created using conventional aircraft. 

(4) Infrared, ultraviolet, multispectral 

(multiband), video, imagery radar, and 

related tapes, converted to a film base. 

(5) Indexes and other finding aids in 

the form of photo mosaics, flight line 

indexes, coded grids, and coordinate 

grids. 

(i) Architectural and related 

engineering drawings, including: 

(1) Design drawings, preliminary and 

presentation drawings, and models that 

document the evolution of the design of 

a building or structure. 

(2) Master sets of drawings that 

document both the initial design and 

construction and subsequent alterations 

of a building or structure. This category 

includes final working drawings, ‘‘asbuilt’’ drawings, shop drawings, and 

repair and alteration drawings. 

(3) Drawings of repetitive or standard 

details of one or more buildings or 

structures. 

(4) ‘‘Measured’’ drawings of existing 

buildings and original or photocopies of 

drawings reviewed for approval. 

(5) Related finding aids and 

specifications to be followed. 

(j) Digital geospatial data records. See 

§ 1235.48(c) for transfer requirements 

for digital geospatial data records. 

§ 1235.44 What general transfer 

requirements apply to electronic records? 

(a) Each agency must retain a copy of 

permanent electronic records that it 

transfers to NARA until it receives 

official notification that NARA has 

assumed responsibility for continuing 

preservation of the records. 

(b) For guidance related to the transfer 

of electronic records other than those 

covered in this subpart, the agency must 

consult with the National Archives and 

Records Administration, Electronic/ 

Special Media Records Services 

Division (NWME), 8601 Adelphi Road, 

College Park, MD 20740, phone number 

(301) 837–3420. 

(c) When transferring digital 

photographs and their accompanying 

metatdata, the agency must consult with 

the National Archives and Records 

Administration, Special Media Archives 

Services Division (NWCS) for digital 

photographs, 8601 Adelphi Road, 

College Park, MD 20740, phone number 

(301) 837–2903. 

§ 1235.46 What electronic media may be 

used for transferring records to the National 

Archives of the United States? 

(a) General. This section specifies the 

media or method used to transfer 

permanent records to the National 

Archives of the United States. (See 36 

CFR 1236.28 for the requirements 

governing the selection of electronic 

records storage media for current agency 

use.) The agency must use only media 

that is are sound and free from defects 

for transfers to the National Archives of 

the United States. When permanent 

electronic records may be disseminated 

through multiple electronic media (e.g., 

magnetic tape, CD–ROM) or 

mechanisms (e.g., FTP), the agency and 

NARA must agree on the most 

appropriate medium or method for 

transfer of the records into the National 

Archives of the United States. 

(b) Magnetic tape. Agencies may 

transfer electronic records to the 

National Archives of the United States 

on magnetic tape as follows: 

(1) Open-reel magnetic tape must be 

on 1⁄2-inch 9-track tape reels recorded at 

1600 or 6250 bpi that meet ANSI X3.39 

or ANSI X3.54 (both incorporated by 

reference, see § 1235.4), respectively. 

(2) 18-track 3480-class cartridges must 

be recorded at 37,871 bpi that meet 

ANSI X3.180 (incorporated by reference 

see, § 1235.4). The data must be blocked 

at no more than 32,760 bytes per block. 

(3) For DLT tape IV cartridges, the 

data must be blocked at no more than 

32,760 bytes per block and must 

conform to the standards cited in the 

table as follows: 

If you are copying the records on . . . . . . then, the standard below applies. 

DLTtape IV with a DLT 4000 drive . . . .................................................. ISO/IEC 15307 (incorporated by reference see, § 1235.4). 

DLTtape IV with a DLT 7000 drive . . . .................................................. ISO/IEC 15896 (incorporated by reference see, § 1235.4). 

DLTtape IV with a DLT 8000 drive . . . .................................................. ISO/IEC 16382 (incorporated by reference see, § 1235.4). 

(c) Compact-Disk, Read Only Memory 

(CD–ROM) and Digital Video Disks 

(DVDs). Agencies may use CD–ROMs 

and DVDs to transfer permanent 

electronic records to the National 

Archives of the United States. 

(1) CD–ROMs used for this purpose 

must conform to ANSI/NISO/ISO 9660 

(incorporated by reference, see 

§ 1235.4). 

(2) Permanent electronic records must 

be stored in discrete files. Transferred 

CD–ROMs and DVDs may contain other 

files, such as software or temporary 

records, but all permanent records must 

be in files that contain only permanent 

records. Agencies must indicate at the 

time of transfer if a CD–ROM or DVD 

contains temporary records and where 

those records are located on the CD– 

ROM or DVD. The agency must also 

specify whether NARA should return 

the CD–ROM or DVD to the agency or 

dispose of it after copying the 

permanent records to an archival 

medium. 

(3) If permanent electronic records are 

stored on both CD–ROM (or DVD) and 

other media, such as magnetic tape, the 

agency and NARA must agree on the 

medium that will be used to transfer the 

records into the National Archives of 

the United States. 

(d) File Transfer Protocol. Agencies 

may use File Transfer Protocol (FTP) to 

transfer permanent electronic records to 

the National Archives of the United 

States only with NARA’s approval. 

Several important factors may limit the 

use of FTP as a transfer method, 

including the number of records, record 

file size, and available bandwidth. 

Agencies must contact the National 

Archives and Records Administration, 

Special Media Archives Services 

Division (NWCS), 8601 Adelphi Road, 

College Park, MD 20740, phone number 

(301) 837–2903, or the National 

Archives and Records Administration, 

Electronic/Special Media Records 

Services Division (NWME), 8601 

Adelphi Road, College Park, MD 20740, 

phone number (301) 837–1578, to 

initiate the transfer discussions. Each 

transfer of electronic records via FTP 

must be preceded with a signed SF 258 

sent to NWME. 

(1) FTP file structure may use the 64- 

character Joliet extension naming 

convention only when letters, numbers, 

dashes (–), and underscores (___) are 

used in the file and/or directory names, 

with a slash (/) used to indicate 


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directory structures. Otherwise, FTP file 

structure must conform to an 8.3 file 

naming convention and file directory 

structure as cited in ANSI/NISO/ISO 

9660 (incorporated by reference, see 

§ 1235.4). 

(2) Permanent electronic records must 

be transferred in discrete files, separate 

from temporary files. All permanent 

records must be transferred in files that 

contain only permanent records. 

§ 1235.48 What documentation must 

agencies transfer with electronic records? 

(a) General. Agencies must transfer 

documentation adequate to identify, 

service, and interpret the permanent 

electronic records This documentation 

must include completed NARA Form 

14097, Technical Description for 

Transfer of Electronic Records, for 

magnetic tape media, and a completed 

NARA Form 14028, Information System 

Description Form, or their equivalents. 

Agencies must submit the required 

documentation, if electronic, in an 

electronic form that conforms to the 

provisions of this section. 

(b) Data files. Documentation for data 

files and data bases must include record 

layouts, data element definitions, and 

code translation tables (codebooks) for 

coded data. Data element definitions, 

codes used to represent data values, and 

interpretations of these codes must 

match the actual format and codes as 

transferred. 

(c) Digital geospatial data files. Digital 

geospatial data files must include the 

documentation specified in paragraph 

(b) of this section. In addition, 

documentation for digital geospatial 

data files can include metadata that 

conforms to the Federal Geographic 

Data Committee’s Content Standards for 

Digital Geospatial Metadata, as specified 

in Executive Order 12906 of April 11, 

1994 (3 CFR, 1995 Comp., p. 882) 

(Federal geographic data standards are 

available at http://www.fgdc.gov/ 

standards/standards_publications). 

(d) Documents containing SGML tags. 

Documentation for electronic files 

containing textual documents with 

SGML tags must include a table for 

interpreting the SGML tags, when 

appropriate. 

(e) Electronic records in other formats. 

(1) This paragraph (e) applies to the 

documentation for the following types 

of electronic records: 

(i) E-mail messages with attachments; 

(ii) Scanned images of textual records; 

(iii) Records in portable document 

format (PDF); 

(iv) Digital photographic records; and 

(v) Web content records. 

(2) Guidance on the documentation 

for electronic records in these formats 

are available on the NARA Electronic 

Records Management Initiative Web 

page at http://www.archives.gov/ 

records-mgmt/initiatives/transfer-tonara.html or from the National Archives 

and Records Administration, Special 

Media Archives Services Division 

(NWCS), 8601 Adelphi Road, College 

Park, MD 20740, phone number (301) 

837–2903 for digital photographs and 

metadata, or the National Archives and 

Records Administration, Electronic/ 

Special Media Records Services 

Division (NWME), 8601 Adelphi Road, 

College Park, MD 20740, phone number 

301–837–1578, for other electronic 

records. 

§ 1235.50 What specifications and 

standards for transfer apply to electronic 

records? 

(a) General. 

(1) Agencies must transfer electronic 

records in a format that is independent 

of specific hardware or software. Except 

as specified in paragraphs (c) through 

(e) of this section, the records must be 

written in American Standard Code for 

Information Interchange (ASCII) or 

Extended Binary Coded Decimal 

Interchange Code (EBCDIC) with all 

control characters and other non-data 

characters removed. Agencies must 

consult with the National Archives and 

Records Administration, Electronic/ 

Special Media Records Services 

Division (NWME), 8601 Adelphi Road, 

College Park, MD 20740, phone number 

(301) 837–1578 about electronic records 

in other formats. 

(2) Agencies must have advance 

approval from NARA for compression of 

the records, and agencies must comply 

with a request from NARA to provide 

the software to decompress the records. 

(3) Agencies interested in transferring 

scheduled electronic records using a 

Tape Archive (TAR) utility must contact 

the National Archives and Records 

Administration, Electronic/Special 

Media Records Services Division 

(NWME), 8601 Adelphi Road, College 

Park, MD 20740, phone number (301) 

837–1578 to initiate transfer 

discussions. 

(b) Data files and databases. Data files 

and databases must be transferred to the 

National Archives of the United States 

as flat files or as rectangular tables; i.e., 

as two-dimensional arrays, lists, or 

tables. All ‘‘records’’ (within the context 

of the computer program, as opposed to 

a Federal record) or ‘‘tuples,’’ i.e., 

ordered collections of data items, within 

a file or table must have the same logical 

format. Each data element within a 

record must contain only one data 

value. A record must not contain nested 

repeating groups of data items. The file 

must not contain extraneous control 

characters, except record length 

indicators for variable length records, or 

marks delimiting a data element, field, 

record, or file. If records or data 

elements in different files need to be 

linked or combined, then each record 

must contain one or more data elements 

that constitute primary and/or foreign 

keys enabling valid linkages between 

the related records in separate files. 

(c) Digital geospatial data files. Digital 

spatial data files must be transferred to 

the National Archives of the United 

States in a format that complies with a 

non-proprietary, published open 

standard maintained by or for a Federal, 

national, or international standards 

organization. Acceptable transfer 

formats include the Geography Markup 

Language (GML) as defined by the Open 

GIS Consortium. 

(d) Textual documents. Electronic 

textual documents must be transferred 

as plain ASCII files; however, such files 

may contain standard markup language 

such as Standard Generalized Markup 

Language (SGML) or XML tags. 

(e) Electronic mail, scanned images of 

textual records, portable document 

format records, digital photographic 

records, and Web content records. For 

guidance on the transfer of these records 

to NARA, agencies should consult the 

transfer requirements available on the 

NARA Electronic Records Management 

Initiative Web page at http:// 

www.archives.gov/records-mgmt/ 

initiatives/transfer-to-nara.html or 

contact the National Archives and 

Records Administration, Special Media 

Archives Services Division (NWCS), 

8601 Adelphi Road, College Park, MD 

20740, phone number 301–837–2903 for 

digital photographs and metadata, or the 

National Archives and Records 

Administration, Electronic/Special 

Media Records Services Division 

(NWME), 8601 Adelphi Road, College 

Park, MD 20740, phone number (301) 

837–1578, for other electronic records, 

PART 1236—ELECTRONIC RECORDS 

MANAGEMENT 

Subpart A—General 

Sec. 

1236.1 What are the authorities for part 

1236? 

1236.2 What definitions apply to this part? 

1236.4 What standards are used as 

guidance for this part? 

1236.6 What are agency responsibilities for 

electronic records management? 

Subpart B—Records Management and 

Preservation Considerations for Designing 

and Implementing Electronic Information 

Systems 

1236.10 What records management 

controls must agencies establish for 


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records in electronic information 

systems? 

1236.12 What other records management 

and preservation considerations must be 

incorporated into the design, 

development, and implementation of 

electronic information systems? 

1236.14 What must agencies do to protect 

records against technological 

obsolescence? 

Subpart C—Additional Requirements for 

Electronic Records 

1236.20 What are appropriate 

recordkeeping systems for electronic 

records? 

1236.22 What are the additional 

requirements for managing electronic 

mail records? 

1236.24 What are the additional 

requirements for managing unstructured 

electronic records? 

1236.26 What actions must agencies take to 

maintain electronic information systems? 

1236.28 What additional requirements 

apply to the selection and maintenance 

of electronic records storage media for 

permanent records? 

Authority: 44 U.S.C. 2904, 3101, 3102, and 

3105. 

Subpart A—General 

§ 1236.1 What are the authorities for part 

1236? 

The statutory authority for this part is 

44 U.S.C. 2904, 3101, 3102, and 3105. 

OMB Circular A–130, Management of 

Federal Information Resources, applies 

to records and information systems 

containing records. 

§ 1236.2 What definitions apply to this 

part? 

(a) See § 1220.18 of this subchapter 

for definitions of terms used throughout 

Subchapter B, including part 1236. 

(b) As used in part 1236— 

Electronic information system means 

an information system that contains and 

provides access to computerized Federal 

records and other information. 

Electronic mail system means a 

computer application used to create, 

receive, and transmit messages and 

other documents. Excluded from this 

definition are file transfer utilities 

(software that transmits files between 

users but does not retain any 

transmission data), data systems used to 

collect and process data that have been 

organized into data files or data bases on 

either personal computers or mainframe 

computers, and word processing 

documents not transmitted on an e-mail 

system. 

Metadata consists of preserved 

contextual information describing the 

history, tracking, and/or management of 

an electronic document. 

Unstructured electronic records 

means records created using office 

automation applications such as 

electronic mail and other messaging 

applications, word processing, or 

presentation software. 

§ 1236.4 What standards are used as 

guidance for this part? 

These regulations conform with ISO 

15489–1:2001. Paragraph 9.6 (Storage 

and handling) is relevant to this part. 

§ 1236.6 What are agency responsibilities 

for electronic records management? 

Agencies must: 

(a) Incorporate management of 

electronic records into the records 

management activities required by parts 

1220–1235 of this subchapter; 

(b) Integrate records management and 

preservation considerations into the 

design, development, enhancement, and 

implementation of electronic 

information systems in accordance with 

subpart B of this part; and 

(c) Appropriately manage electronic 

records in accordance with subpart C of 

this part. 

Subpart B—Records Management and 

Preservation Considerations for 

Designing and Implementing 

Electronic Information Systems 

§ 1236.10 What records management 

controls must agencies establish for 

records in electronic information systems? 

The following types of records 

management controls are needed to 

ensure that Federal records in electronic 

information systems can provide 

adequate and proper documentation of 

agency business for as long as the 

information is needed. Agencies must 

incorporate controls into the electronic 

information system or integrate them 

into a recordkeeping system that is 

external to the information system itself 

(see § 1236.20 of this part). 

(a) Reliability: Controls to ensure a 

full and accurate representation of the 

transactions, activities or facts to which 

they attest and can be depended upon 

in the course of subsequent transactions 

or activities. 

(b) Authenticity: Controls to protect 

against unauthorized addition, deletion, 

alteration, use, and concealment. 

(c) Integrity: Controls, such as audit 

trails, to ensure records are complete 

and unaltered. 

(d) Usability: Mechanisms to ensure 

records can be located, retrieved, 

presented, and interpreted. 

(e) Content: Mechanisms to preserve 

the information contained within the 

record itself that was produced by the 

creator of the record; 

(f) Context: Mechanisms to implement 

cross-references to related records that 

show the organizational, functional, and 

operational circumstances about the 

record, which will vary depending upon 

the business, legal, and regulatory 

requirements of the business activity; 

and 

(g) Structure: controls to ensure the 

maintenance of the physical and logical 

format of the records and the 

relationships between the data 

elements. 

§ 1236.12 What other records management 

and preservation considerations must be 

incorporated into the design, development, 

and implementation of electronic 

information systems? 

As part of the capital planning and 

systems development life cycle 

processes, agencies must ensure: 

(a) That records management controls 

(see § 1236.10) are planned and 

implemented in the system; 

(b) That all records in the system will 

be retrievable and usable for as long as 

needed to conduct agency business (i.e., 

for their NARA-approved retention 

period). Where the records will need to 

be retained beyond the planned life of 

the system, agencies must plan and 

budget for the migration of records and 

their associated metadata to new storage 

media or formats in order to avoid loss 

due to media decay or technology 

obsolescence. (See § 1236.14.) 

(c) The transfer of permanent records 

to NARA in accordance with part 1235 

of this subchapter. 

(d) Provision of a standard 

interchange format (e.g., ASCII or XML) 

when needed to permit the exchange of 

electronic documents between offices 

using different software or operating 

systems. 

§ 1236.14 What must agencies do to 

protect records against technological 

obsolescence? 

Agencies must design and implement 

migration strategies to counteract 

hardware and software dependencies of 

electronic records whenever the records 

must be maintained and used beyond 

the life of the information system in 

which the records are originally created 

or captured. To successfully protect 

records against technological 

obsolescence, agencies must: 

(a) Determine if the NARA-approved 

retention period for the records will be 

longer than the life of the system where 

they are currently stored. If so, plan for 

the migration of the records to a new 

system before the current system is 

retired. 

(b) Carry out upgrades of hardware 

and software in such a way as to retain 

the functionality and integrity of the 

electronic records created in them. 

Retention of record functionality and 

integrity requires: 


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(1) Retaining the records in a usable 

format until their authorized disposition 

date. Where migration includes 

conversion of records, ensure that the 

authorized disposition of the records 

can be implemented after conversion; 

(2) Any necessary conversion of 

storage media to provide compatibility 

with current hardware and software; 

and 

(3) Maintaining a link between 

records and their metadata through 

conversion or migration, including 

capture of all relevant associated 

metadata at the point of migration (for 

both the records and the migration 

process). 

(c) Ensure that migration strategies 

address non-active electronic records 

that are stored off-line. 

Subpart C—Additional Requirements 

for Electronic Records 

§ 1236.20 What are appropriate 

recordkeeping systems for electronic 

records? 

(a) General. Agencies must use 

electronic or paper recordkeeping 

systems or a combination of those 

systems, depending on their business 

needs, for managing their records. 

Transitory e-mail may be managed as 

specified in § 1236.22(c). 

(b) Electronic recordkeeping. 

Recordkeeping functionality may be 

built into the electronic information 

system or records can be transferred to 

an electronic recordkeeping repository, 

such as a DoD–5015.2 STD-certified 

product. The following functionalities 

are necessary for electronic 

recordkeeping: 

(1) Declare records. Assign unique 

identifiers to records. 

(2) Capture records. Import records 

from other sources, manually enter 

records into the system, or link records 

to other systems. 

(3) Organize records. Associate with 

an approved records schedule and 

disposition instruction. 

(4) Maintain records security. Prevent 

the unauthorized access, modification, 

or deletion of declared records, and 

ensure that appropriate audit trails are 

in place to track use of the records. 

(5) Manage access and retrieval. 

Establish the appropriate rights for users 

to access the records and facilitate the 

search and retrieval of records. 

(6) Preserve records. Ensure that all 

records in the system are retrievable and 

usable for as long as needed to conduct 

agency business and to meet NARAapproved dispositions. Agencies must 

develop procedures to enable the 

migration of records and their 

associated metadata to new storage 

media or formats in order to avoid loss 

due to media decay or technology 

obsolescence. 

(7) Execute disposition. Identify and 

effect the transfer of permanent records 

to NARA based on approved records 

schedules. Identify and delete 

temporary records that are eligible for 

disposal. Apply records hold or freeze 

on disposition when required. 

(c) Backup systems. System and file 

backup processes and media do not 

provide the appropriate recordkeeping 

functionalities and must not be used as 

the agency electronic recordkeeping 

system. 

§ 1236.22 What are the additional 

requirements for managing electronic mail 

records? 

(a) Agencies must issue instructions 

to staff on the following retention and 

management requirements for electronic 

mail records: 

(1) The names of sender and all 

addressee(s) and date the message was 

sent must be preserved for each 

electronic mail record in order for the 

context of the message to be understood. 

The agency may determine that other 

metadata is needed to meet agency 

business needs, e.g., receipt 

information. 

(2) Attachments to electronic mail 

messages that are an integral part of the 

record must be preserved as part of the 

electronic mail record or linked to the 

electronic mail record with other related 

records. 

(3) If the electronic mail system 

identifies users by codes or nicknames 

or identifies addressees only by the 

name of a distribution list, retain the 

intelligent or full names on directories 

or distributions lists to ensure 

identification of the sender and 

addressee(s) of messages that are 

records. 

(4) Some e-mail systems provide 

calendars and task lists for users. These 

may meet the definition of Federal 

record. Calendars that meet the 

definition of Federal records are to be 

managed in accordance with the 

provisions of GRS 23, Item 5. 

(5) Draft documents that are 

circulated on electronic mail systems 

may be records if they meet the criteria 

specified in 36 CFR 1222.10(b) of this 

subchapter. 

(b) Agencies that allow employees to 

send and receive official electronic mail 

messages using a system not operated by 

the agency must ensure that Federal 

records sent or received on such 

systems are preserved in the appropriate 

agency recordkeeping system. 

(c) Agencies may elect to manage 

electronic mail records with very shortterm NARA-approved retention periods 

(transitory records with a very shortterm retention period of 180 days or less 

as provided by GRS 23, Item 7, or by a 

NARA-approved agency records 

schedule) on the electronic mail system 

itself, without the need to copy the 

record to a paper or electronic 

recordkeeping system, provided that: 

(1) Users do not delete the messages 

before the expiration of the NARAapproved retention period, and 

(2) The system’s automatic deletion 

rules ensure preservation of the records 

until the expiration of the NARAapproved retention period. 

(d) Except for those electronic mail 

records within the scope of paragraph 

(c) of this section: 

(1) Agencies must not use an 

electronic mail system to store the 

recordkeeping copy of electronic mail 

messages identified as Federal records 

unless that system has all of the features 

specified in § 1236.20(b) of this part. 

(2) If the electronic mail system is not 

designed to be a recordkeeping system, 

agencies must instruct staff on how to 

copy Federal records from the electronic 

mail system to a recordkeeping system. 

(e) Agencies that retain permanent 

electronic mail records scheduled for 

transfer to the National Archives must 

either store them in a format and on a 

medium that conforms to the 

requirements concerning transfer at 36 

CFR part 1235 or maintain the ability to 

convert the records to the required 

format and medium at the time transfer 

is scheduled. 

(f) Agencies that maintain paper 

recordkeeping systems must print and 

file their electronic mail records with 

the related transmission and receipt 

data specified by the agency’s electronic 

mail instructions. 

§ 1236.24 What are the additional 

requirements for managing unstructured 

electronic records? 

(a) Agencies that manage unstructured 

electronic records electronically must 

ensure that the records are filed in a 

recordkeeping system that meets the 

requirements in § 1236.10, except that 

transitory e-mail may be managed in 

accordance with § 1236.22(c). 

(b) Agencies that maintain paper files 

as their recordkeeping systems must 

establish policies and issue instructions 

to staff to ensure that unstructured 

records are printed out for filing in a 

way that captures any pertinent hidden 

text (such as comment fields) or 

structural relationships (e.g., among 

worksheets in spreadsheets or other 

complex documents) required to meet 

agency business needs. 


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§ 1236.26 What actions must agencies 

take to maintain electronic information 

systems? 

(a) Agencies must maintain 

inventories of electronic information 

systems and review the systems 

periodically for conformance to 

established agency procedures, 

standards, and policies as part of the 

periodic reviews required by 44 U.S.C. 

3506. The review should determine if 

the records have been properly 

identified and described, and if the 

schedule descriptions and retention 

periods reflect the current informational 

content and use. If not, agencies must 

submit an SF 115, Request for Records 

Disposition Authority, to NARA. 

(b) Agencies must maintain up-to-date 

documentation about electronic 

information systems that is adequate to: 

(1) Specify all technical 

characteristics necessary for reading and 

processing the records contained in the 

system; 

(2) Identify all inputs and outputs; 

(3) Define the contents of the files and 

records; 

(4) Determine restrictions on access 

and use; 

(5) Understand the purpose(s) and 

function(s) of the system; 

(6) Describe update cycles or 

conditions and rules for adding, 

changing, or deleting information in the 

system; and 

(7) Ensure the timely, authorized 

disposition of the records. 

§ 1236.28 What additional requirements 

apply to the selection and maintenance of 

electronic records storage media for 

permanent records? 

(a) Agencies must maintain the 

storage and test areas for electronic 

records storage media containing 

permanent and unscheduled records 

within the following temperature and 

relative humidity ranges: 

(1) Temperature—62° to 68° F. 

(2) Relative humidity—35% to 45%. 

(b) Electronic media storage libraries 

and test or evaluation areas that contain 

permanent or unscheduled records must 

be smoke-free. 

(c) For additional guidance on the 

maintenance and storage of CDs and 

DVDS, agencies may consult the 

National Institute of Standards and 

Technology (NIST) Special Publication 

500–252, Care and Handling of CDs and 

DVDs at http://www.itl.nist.gov/iad/ 

894.05/papers/ 

CDandDVDCareandHandlingGuide.pdf, 

contact phone number (301) 975–6478. 

(d) Agencies must test magnetic 

computer tape media no more than 6 

months prior to using them to store 

electronic records that are unscheduled 

or scheduled for permanent retention. 

This test should verify that the magnetic 

computer tape media are free of 

permanent errors and in compliance 

with NIST or industry standards. 

(e) Agencies must annually read a 

statistical sample of all magnetic 

computer tape media containing 

permanent and unscheduled records to 

identify any loss of data and to discover 

and correct the causes of data loss. In 

magnetic computer tape libraries with 

1800 or fewer tape media, a 20% sample 

or a sample size of 50 media, whichever 

is larger, should be read. In magnetic 

computer tape libraries with more than 

1800 media, a sample of 384 media 

should be read. Magnetic computer tape 

media with 10 or more errors should be 

replaced and, when possible, lost data 

must be restored. All other magnetic 

computer tape media which might have 

been affected by the same cause (i.e., 

poor quality tape, high usage, poor 

environment, improper handling) must 

be read and corrected as appropriate. 

(f) Before the media are 10 years old, 

agencies must copy permanent or 

unscheduled data on magnetic records 

storage media onto tested and verified 

new electronic media. 

PART 1237—AUDIOVISUAL, 

CARTOGRAPHIC, AND RELATED 

RECORDS MANAGEMENT 

Sec. 

1237.1 What is the applicability and scope 

of this part? 

1237.2 What are the authorities for part 

1237? 

1237.3 What standards are incorporated by 

reference for this part? 

1237.4 What definitions apply to this part? 

1237.10 How must agencies manage their 

audiovisual, cartographic, and related 

records? 

1237.12 What record elements must be 

created and preserved for permanent 

audiovisual records? 

1237.14 What are the scheduling 

requirements for audiovisual, 

cartographic, and related records? 

1237.16 How do agencies store audiovisual 

records? 

1237.18 What are the environmental 

standards for audiovisual records 

storage? 

1237.20 What are special considerations in 

the maintenance of audiovisual records? 

1237.22 What are special considerations in 

the storage and maintenance of 

cartographic and related records? 

1237.24 What are the special considerations 

for storage and maintenance of aerial 

photographic records? 

1237.26 What materials and processes must 

agencies use to create audiovisual 

records? 

1237.28 What special concerns apply to 

digital photographs? 

1237.30 How do agencies manage records 

on nitrocellulose-base and celluloseacetate base film? 

Authority: 44 U.S.C. 2904 and 3101. 

§ 1237.1 What is the applicability and 

scope of this part? 

Agencies must manage audiovisual, 

cartographic, and related records in 

accordance with parts 1220–1235. This 

part prescribes additional policies and 

procedures for managing audiovisual, 

cartographic, and related records to 

ensure adequate and proper 

documentation and authorized, timely, 

and appropriate disposition. 

§ 1237.2 What are the authorities for part 

1237? 

The authorities for this part are 44 

U.S.C. 2904 and 3101. 

§ 1237.3 What standards are incorporated 

by reference in this part? 

(a) Certain material is incorporated by 

reference into this part with the 

approval of the Director of the Federal 

Register under 5 U.S.C. 552(a) and 1 

CFR part 51. To enforce any edition 

other than that specified in this section, 

NARA must publish notice of change in 

the Federal Register and the material 

must be available to the public. All 

approved material is available for 

inspection at the Office of the Federal 

Register. For information on the 

availability of this material at the Office 

of the Federal Register, call (202) 741– 

6030 or go to http://www.archives.gov/ 

federal_register/code_of_federal_ 

regulations/ibr_locations.html. 

(b) The material incorporated by 

reference is also available for inspection 

at NARA’s Archives Library Information 

Center (NWCCA), Room 2380, 8601 

Adelphi Road, College Park, MD 20740– 

6001, phone number (301) 837–3415, 

and is available for purchase from the 

sources listed below. If you experience 

difficulty obtaining the standards 

referenced below, contact NARA’s 

Policy and Planning Staff (NPOL), 

National Archives and Records 

Administration, 8601 Adelphi Road, 

College Park, MD 20740–6001, phone 

number (301) 837–1850. 

(c) American National Standards 

Institute (ANSI) and International 

Organization for Standards (ISO) 

standards. The following ANSI and ISO 

standards are available from the 

American National Standards Institute, 

25 West 43rd St., 4th Floor, New York, 

NY 10036, phone number (212) 642– 

4900, or online at http:// 

webstore.ansi.org. 

(1) ISO 18906: 2000 (‘‘ISO 18906’’), 

Imaging Materials—Photographic 

Films—Specifications for Safety Film, 


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First Edition, December 15, 2000, IBR 

approved for § 1237.26. 

(2) ISO 18911: 2000 (‘‘ISO 18911’’), 

Imaging materials—Processed safety 

photographic films—Storage practices, 

First Edition, November 1, 2000, IBR 

approved for § 1238.20, IBR approved 

for §§ 1237.16 and 1237.18. 

(3) ISO 18920: 2000 (‘‘ISO 18920’’), 

Imaging Materials—Processed 

Photographic Reflection Prints—Storage 

Practices, First Edition, July 15, 2000, 

IBR approved for § 1237.18. 

(4) ANSI/AIIM TR34: 1996 (‘‘ANSI/ 

AIIM TR34’’), Sampling Procedures for 

Inspection by Attributes of Images in 

Electronic Image Management and 

Micrographic Systems, May 13, 1996, 

IBR approved for § 1237.28. 

(d) National Fire Protection 

Association (NFPA). The following 

standards are available from the 

National Fire Protection Association, 

1 Batterymarch Park, P.O. Box 9109, 

Quincy, MA 02269–9101, phone 

number (617) 770–3000 or online at 

http://catalog.nfpa.org. 

(1) NFPA 40–2007 (‘‘NFPA 40– 

2007’’), Standard for the Storage and 

Handling of Cellulose Nitrate Film, 

2007, IBR approved for § 1237.30. 

(2) Reserved. 

(e) Techstreet. The following 

standards are available from the 

standards reseller Techstreet, 3916 

Ranchero Drive, Ann Arbor, MI 48108, 

phone number (800) 699–9277, or 

online at http://www.Techstreet.com. 

(1) ISO 18902: 2001 (‘‘ISO 18902’’), 

Imaging Materials—Processed 

Photographic Films, Plates, and 

Papers—Filing Enclosures and Storage 

Containers, 2001, IBR approved for 

§ 1237.16. 

(2) ISO 18923: 2000 (‘‘ISO 18923’’), 

Imaging Materials—Polyester-Base 

Magnetic Tape—Storage Practices, First 

Edition, June 1, 2000, IBR approved for 

§ 1237.18. 

(3) ISO 18925: 2002 (‘‘ISO 18925’’), 

Imaging Materials—Optical Disc 

Media—Storage Practices, First Edition, 

June 1, 2002, IBR approved for 

§ 1237.18. 

(f) The following standards are not 

available from the original publisher or 

a standards reseller. As indicated in 

paragraph (b) of this section, the 

standards are available for inspection at 

the NWCCA. In order to inspect the 

standards at a NARA location other than 

the NARA facility in College Park, MD, 

please contact the NWCCA, Room 2380, 

8601 Adelphi Road, College Park, MD 

20740–6001, phone number (301) 837– 

3415 or e-mail your request to 

alic@nara.gov. 

(1) ISO 2859–1: 1996 (‘‘ISO 2859–1’’), 

Sampling Procedures for Inspection by 

Attributes—Part 1: Sampling Plans 

Indexed by Acceptable Quality Level 

(AQL) for Lot-by-Lot Inspection, 1996, 

IBR approved for § 1237.28. 

(2) ANSI/NAPM IT9.11–1993 (‘‘ANSI/ 

NAPM IT9.11–1993’’), Imaging Media— 

Processed Safety Photographic Films— 

Storage, 1993, IBR approved for 

§ 1237.16. 

§ 1237.4 What definitions apply to this 

part? 

(a) See § 1220.18 of this subchapter 

for definitions of terms used throughout 

Subchapter B, including part 1237. 

(b) As used in part 1237— 

Aerial photographic records means 

film-based images of the surface of the 

earth, of other planetary bodies, or of 

the atmosphere that have been taken 

from airborne vehicles or satellites. 

They include vertical and oblique aerial 

negative film taken from conventional 

aircraft as well as copy negatives, 

internegatives, rectified negatives, and 

annotated and other prints from these 

negatives. Also included are infrared, 

ultraviolet, multispectral, video, and 

radar imagery that has been converted to 

a film base. These records also include 

the relevant index system in whatever 

form it may exist such as mosaics, 

flight-line overlays or annotated maps, 

or electronic data bases capturing the 

latitude and longitude (or other 

coordinate-based location data) of 

individual aerial photographic center 

points. 

Architectural and engineering records 

means graphic records that depict the 

proposed and actual construction of 

stationary structures, such as buildings, 

bridges, and canals as well as movable 

objects, such as ships, aircraft, vehicles, 

weapons, machinery, and equipment. 

These records are also known as design 

and construction drawings and include 

closely related indexes and written 

specifications. 

Audiovisual means any pictorial or 

aural means of communicating 

information, e.g., photographic prints, 

negatives, slides, digital images, sound 

recordings, and moving images. 

Audiovisual equipment means 

equipment used for recording, 

producing, duplicating, processing, 

broadcasting, distributing, storing, or 

exhibiting audiovisual materials or for 

providing any audiovisual services. 

Audiovisual production means an 

organized and unified presentation, 

developed according to a plan or script, 

containing visual imagery, sound, or 

both, and used to convey information. 

An audiovisual production generally is 

a self-contained presentation. 

Audiovisual records means records in 

pictorial or aural form, including still 

photographs and motion media (i.e., 

moving images whether on motion 

picture film or as video recordings), 

sound recordings, graphic works (e.g., 

printed posters), mixed media, and 

related finding aids and production 

files. 

Cartographic records means graphic 

representations drawn to scale of 

selected cultural and physical features 

of the surface of the earth, of other 

planetary bodies, and of the atmosphere. 

They include maps, charts, photomaps, 

orthophotomaps and images, atlases, 

cartograms, globes, and relief models. 

Related records are those that are 

integral to the map-making process, 

such as field survey notes, geodetic 

controls, map history case files, source 

material, indexes, and finding aids. 

§ 1237.10 How must agencies manage 

their audiovisual, cartographic, and related 

records? 

Each Federal agency must manage its 

audiovisual, cartographic and related 

records as required in parts 1220 

through 1235. In addition, agencies 

must: 

(a) Prescribe the types of audiovisual, 

cartographic, and related records to be 

created and maintained. (See § 1235.42 

of this subchapter for transfer 

requirements for permanent audiovisual 

records.) 

(b) Create and maintain current 

inventories showing the location of all 

generations of audiovisual records and 

all cartographic and related records, 

especially those not maintained 

centrally by the agency. 

§ 1237.12 What record elements must be 

created and preserved for permanent 

audiovisual records? 

For permanent audiovisual records, 

the following record elements must be 

created or acquired and preserved for 

transfer into the National Archives of 

the United States. (See § 1235.42 of this 

subchapter for transfer requirements for 

permanent audiovisual records.) 

(a) Motion pictures. 

(1) Agency-sponsored or produced 

motion picture films (e.g., public 

information films) whether for public or 

internal use: 

(i) Original negative or color original 

plus separate optical sound track; 

(ii) Intermediate master positive or 

duplicate negative plus optical track 

sound track; and, 

(iii) Sound projection print and video 

recording, if both exist. 

(2) Agency-acquired motion picture 

films: Two projection prints in good 

condition or one projection print and 

one videotape. 

(3) Unedited footage, outtakes and 

trims (the discards of film productions) 


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that are properly arranged, labeled, and 

described and show unstaged, 

unrehearsed events of historical interest 

or historically significant phenomena: 

(i) Original negative or color original; 

and 

(ii) Matching print or videotape. 

(b) Video recordings. 

(1) For analog videotapes, the original 

or earliest generation videotape using 

industrial-quality or professional 

videotapes for originals and a copy for 

reference. 

(2) For video discs, the premaster 

video used to manufacture the video 

disc and two copies of the disc. 

(c) Still pictures. 

(1) For analog black-and-white 

photographs, an original negative and a 

captioned print or the captioning 

information maintained in another file 

such as a data base if the file number 

correlation is clear. If the original 

negative is nitrate, unstable acetate, or 

glass based, a duplicate negative on a 

polyester base is needed. 

(2) For analog color photographs, the 

original color negative, color 

transparency, or color slide; a captioned 

print of the original color negative and/ 

or captioning information in another file 

such as a data base with a clear 

correlation to the relevant image; and a 

duplicate negative, or slide, or 

transparency. 

(3) For slide sets, the original and a 

reference set, and the related audio 

recording and script. 

(4) For other pictorial records such as 

posters, original art work, and 

filmstrips, the original and a reference 

copy. 

(d) Digital photographic records. See 

§ 1237.28 for requirements for digital 

photographs. 

(e) Sound recordings. 

(1) Disc recordings: 

(i) For electronic recordings, the 

origination recording regardless of form 

and two compact discs (CDs) or digital 

video disks (DVDs). 

(ii) For analog disc recordings, the 

master tape and two disc pressings of 

each recording, typically a vinyl copy 

for playback at 331⁄3 revolutions per 

minute (rpm). 

(2) For analog audio recordings on 

magnetic tape (open reel, cassette, or 

cartridge), the original tape, or the 

earliest available generation of the 

recording, and a subsequent generation 

copy for reference. 

(f) Finding aids and production 

documentation. 

(1) Existing finding aids such as data 

sheets, shot lists, continuities, review 

sheets, catalogs, indexes, list of 

captions, and other documentation that 

identifies the records. 

(2) Production case files or similar 

files that include copies of production 

contracts, scripts, transcripts, and 

appropriate documentation bearing on 

the origin, acquisition, release, and 

ownership of the production. 

§ 1237.14 What are the additional 

scheduling requirements for audiovisual, 

cartographic, and related records? 

The disposition instructions should 

also provide that permanent records be 

transferred to the National Archives of 

the United States within 5–10 years 

after creation (see also 36 CFR part 

1235). See § 1235.42 of this subchapter 

for specifications and standards for 

transfer to the National Archives of the 

United States of audiovisual, 

cartographic, and related records. 

§ 1237.16 How do agencies store 

audiovisual records? 

Agencies must maintain appropriate 

storage conditions for permanent, longterm temporary or unscheduled 

audiovisual records: 

(a) Ensure that audiovisual records 

storage facilities comply with 36 CFR 

part 1234. 

(b) For the storage of permanent, longterm temporary, or unscheduled 

records, use audiovisual storage 

containers or enclosures made of noncorroding metal, inert plastics, paper 

products and other safe materials 

recommended in ISO 18902 and ISO 

18911 (both incorporated by reference, 

see § 1237.3); 

(c) Store originals and use copies (e.g., 

negatives and prints) separately, 

whenever practicable. Store distinct 

audiovisual record series separately 

from textual series (e.g., store poster 

series separately from other kinds of 

agency publications, or photographic 

series separately from general reference 

files). Retain intellectual control 

through finding aids, annotations, or 

other descriptive mechanisms; 

(d) Store series of permanent and 

unscheduled x-ray films, i.e, x-rays that 

are not interspersed among paper 

records (case files), in accordance with 

§ 1238.20 of this subchapter. Store series 

of temporary x-ray films under 

conditions that will ensure their 

preservation for their full retention 

period, in accordance with ANSI/PIMA 

IT9.11–1993 (incorporated by reference, 

see § 1237.3); 

(e) Store posters and similar graphic 

works in oversize formats, in map cases, 

hanging files, or other enclosures that 

are sufficiently large or flexible to 

accommodate the records without 

rolling, folding, bending, or other ways 

that compromise image integrity and 

stability; and 

(f) Store optical disks in individual 

containers and use felt-tip, water-based 

markers for disk labeling. 

§ 1237.18 What are the environmental 

standards for audiovisual records storage? 

(a) Photographic film and prints. The 

requirements in this paragraph apply to 

permanent, long-term temporary, and 

unscheduled audiovisual records. 

(1) General guidance. Keep all film in 

cold storage following guidance by the 

International Organization for 

Standardization in ISO 18911 

(incorporated by reference, see 

§ 1237.3). See also ISO 18920 

(incorporated by reference, see 

§ 1237.3). 

(2) Color images and acetate-based 

media. Keep in an area maintained 

below 40 degrees Fahrenheit with 20– 

40% relative humidity to retard the 

fading of color images and the 

deterioration of acetate-based media. 

(b) Digital images on magnetic tape. 

For digital images stored on magnetic 

tape, keep in an area maintained at a 

constant temperature range of 62 

degrees Fahrenheit to 68 degrees 

Fahrenheit, with constant relative 

humidity from 35% to 45%. See also the 

recommendations in ISO 18923 

(incorporated by reference, see 

§ 1237.3); and the requirements for 

electronic records storage in 36 CFR 

1236.28. 

(c) Digital images on optical media. 

For permanent, long-term temporary, or 

unscheduled digital images maintained 

on optical media (e.g., CDs, DVDs), use 

the recommended storage temperature 

and humidity levels stated in ISO 18925 

(incorporated by reference, see 

§ 1237.3). 

§ 1237.20 What are special considerations 

in the maintenance of audiovisual records? 

Agencies must: 

(a) Handle audiovisual records in 

accordance with commonly accepted 

industry practices. 

(b) Protect audiovisual records, 

including those recorded on digital 

media or magnetic sound or video 

media, from accidental or deliberate 

alteration or erasure. 

(c) If different versions of audiovisual 

productions (e.g., short and long 

versions or foreign-language versions) 

are prepared, keep an unaltered copy of 

each version for record purposes. 

(d) Link audiovisual records with 

their finding aids, including captions 

and published and unpublished 

catalogs, inventories, indexes, and 

production files and similar 

documentation created in the course of 

audiovisual production. Establish and 

communicate agency-wide, clear 


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captioning standards, procedures, and 

responsibilities. 

(e) Maintain current and accessible 

documentation identifying creators of 

audiovisual products, their precise 

relationship to the agency, and the 

nature and status of copyright or other 

rights affecting the present and future 

use of items acquired from sources 

outside the agency. (See § 1222.32 of 

this subchapter for requirements to 

ensure agency ownership of appropriate 

contractor produced records.) 

(f) Create unique identifiers for all 

audiovisual records (e.g., for digital 

files, use file naming conventions), that 

clarify connections between related 

elements (e.g., photographic prints and 

negatives, or original edited masters and 

dubbing for video and audio 

recordings), and that associate records 

with the relevant creating, sponsoring, 

or requesting offices. 

(g) Maintain temporary and 

permanent audiovisual records 

separately. 

(h) Require that personnel wear white 

lint-free cotton (or other approved) 

gloves when handling film. 

§ 1237.22 What are special considerations 

in the storage and maintenance of 

cartographic and related records? 

Agencies must: 

(a) Maintain permanent and 

unscheduled cartographic, architectural, 

and engineering records in an 

environment that does not exceed 70 

degrees Fahrenheit and with relative 

humidity under 50%. 

(b) Create an identification scheme for 

each series and assign unique 

identification designations to each item 

within a series. 

(c) Maintain lists or indexes for each 

series with cross-references to related 

textual records. 

(d) Avoid interfiling separate series of 

maps, charts, or drawings, and file 

permanent cartographic and 

architectural records separately from 

temporary series unless hand-corrected 

versions have been systematically filed 

with other published maps in a central 

or master file. 

(e) Avoid rolling and folding maps 

and drawings. Store permanent maps 

and drawings flat in shallow drawer 

map cases in acid-free folders. 

(f) Do not laminate original oversize 

records. Consult the National Archives 

and Records Administration, 

Preservation Programs, (NWT), 8601 

Adelphi Road, College Park, MD 20740, 

phone number (301) 837–1785 for 

preservation, storage, and treatment 

options. 

§ 1237.24 What are special considerations 

for storage and maintenance of aerial 

photographic records? 

(a) Mark each aerial film container 

with a unique identification code to 

facilitate identification and filing. 

(b) Mark aerial film indexes with the 

unique aerial film identification codes 

or container codes for the aerial film 

that they index. Also, file and mark the 

aerial indexes in such a way that they 

can easily be retrieved by area covered. 

§ 1237.26 What materials and processes 

must agencies use to create audiovisual 

records? 

Agencies must: 

(a) For picture negatives and motion 

picture preprints (negatives, masters, 

and all other copies) of permanent, longterm temporary, or unscheduled 

records, use polyester base media and 

process in accordance with industry 

standards as specified in ISO 18906 

(incorporated by reference, see 

§ 1237.3). 

(1) Ensure that residual sodium 

thiosulfate (hypo) on newly processed 

black-and-white photographic film does 

not exceed 0.014 grams per square 

meter. 

(2) Require laboratories to process 

film in accordance with this standard. 

Process color film in accordance with 

the manufacturer’s recommendations. 

(3) If using reversal type processing, 

require full photographic reversal; i.e., 

develop, bleach, expose, develop, fix, 

and wash. 

(b) Avoid using motion pictures in a 

final ‘‘A & B’’ format (two precisely 

matched reels designed to be printed 

together) for the reproduction of 

excerpts or stock footage. 

(c) Use only industrial or professional 

video and audio recording equipment, 

new and previously unrecorded 

magnetic tape stock and blank optical 

media (e.g., DVD and CD), for original 

copies of permanent, long-term 

temporary, or unscheduled recordings. 

Limit the use of consumer formats to 

distribution or reference copies or to 

subjects scheduled for destruction. 

Avoid using videocassettes in the VHS 

format for use as originals of permanent 

or unscheduled records. 

(d) Record permanent, long-term, 

temporary, or unscheduled audio 

recordings on optical media from major 

manufacturers. Avoid using cassettes as 

originals for permanent records or 

unscheduled records (although they 

may be used as reference copies). 

(e) For born-digital or scanned digital 

images that are scheduled as permanent 

or unscheduled, a record (or master) 

version of each image must be 

comparable in quality to a 35 mm film 

photograph or better, and must be saved 

in Tagged Image File Format (TIFF) or 

JPEG File Interchange Format (JFIF, 

JPEG). For more detailed requirements 

on image format and resolution, see 

§ 1235.48(e) of this subchapter. For 

temporary digital photographs, agencies 

select formats that they deem most 

suitable for fulfillment of business 

needs. 

§ 1237.28 What special concerns apply to 

digital photographs? 

Digital photographs, either originating 

in digital form (‘‘born-digital’’) or 

scanned from photographic prints, 

slides, and negatives, are subject to the 

provisions of this part and the 

requirements of 36 CFR part 1236, and 

NARA guidance for transfer of digital 

photographs located on the following 

NARA Web page—http:// 

www.archives.gov/records-mgmt/ 

initiatives/digital-photo-records.html. In 

managing digital photographs, agency 

and contractor personnel must: 

(a) Schedule digital photographs and 

related databases as soon as possible for 

the minimum time needed for agency 

business and transfer the records 

promptly according to the disposition 

instructions on their records schedule. 

(b) Select image management software 

and hardware tools that will meet longterm archival requirements, including 

transfer to the National Archives of the 

United States, as well as business needs. 

Additional information and assistance is 

available from the National Archives 

and Records Administration, Modern 

Records Program (NWM), 8601 Adelphi 

Road, College Park, MD 20740, phone 

number (301) 837–1738. 

(c) When developing digital image 

storage strategies, build redundancy into 

storage systems, backing up image files 

through on-line approaches, off-line, or 

combinations of the two. (See also 

electronic storage requirements in 

§ 1236.28 of this subchapter). 

(d) For scanned digital images of 

photographic prints, slides, and 

negatives that are scheduled as 

permanent or unscheduled, document 

the quality control inspection process 

employed during scanning. 

(1) Visually inspect a sample of the 

images for defects, evaluate the accuracy 

of finding aids, and verify file header 

information and file name integrity. 

(2) Conduct the sample using a 

volume sufficiently large to yield 

statistically valid results, in accordance 

with one of the quality sampling 

methods presented in ANSI/AIIM TR34 

(incorporated by reference, see 

§ 1237.3). (See also ISO 2859–1 

(incorporated by reference, see 

§ 1237.3).) 


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(e) For born-digital images scheduled 

as permanent, long-term temporary, or 

unscheduled, perform periodic 

inspections, using sampling methods or 

more comprehensive verification 

systems (e.g., checksum programs), to 

evaluate image file stability, 

documentation quality, and finding aid 

reliability. Agencies must also establish 

procedures for refreshing digital data 

(recopying) and file migration, 

especially for images and databases 

retained for five years or more. 

(f) Designate a record set of images 

that is maintained separately from other 

versions. Record sets of permanent or 

unscheduled images that have already 

been compressed once (e.g., compressed 

TIFF or first-generation JPEG) must not 

be subjected to further changes in image 

size. 

(g) Organize record images in logical 

series. Group permanent digital images 

separately from temporary digital 

images. 

(h) Document information about 

digital photographic images as they are 

produced. For permanent or 

unscheduled images descriptive 

elements must include: 

(1) An identification number; 

(2) Information about image content; 

(3) Identity and organizational 

affiliation of the photographer; 

(4) Existence of any copyright or other 

potential restrictions on image use; and 

(5) Technical data including file 

format and version, bit depth, image 

size, camera make and model, 

compression method and level, custom 

or generic color profiles (ICC/ICM 

profile), and, where applicable, 

Exchangeable Image File Format (EXIF) 

information embedded in the header of 

image files by certain digital cameras. 

(i) Provide a unique file name to 

identify the digital image. 

(j) Develop finding aids sufficiently 

detailed to ensure efficient and accurate 

retrieval. Ensure that indexes, caption 

lists, and assignment logs can be used 

to identify and chronologically cut-off 

block of images for transfer to the 

NARA. 

§ 1237.30 How do agencies manage 

records on nitrocellulose-base and 

cellulose-acetate base film? 

(a) The nitrocellulose base, a 

substance akin to gun cotton, is 

chemically unstable and highly 

flammable. Agencies must handle 

nitrocellulose-base film (used in the 

manufacture of sheet film, 35 mm 

motion pictures, aerial and still 

photography into the 1950s) as specified 

below: 

(1) Remove nitrocellulose film 

materials (e.g., 35mm motion picture 

film and large series of still pictures) 

from records storage areas. 

(2) Notify the National Archives and 

Records Administration, Modern 

Records Program (NWM), 8601 Adelphi 

Road, College Park, MD 20740, phone 

number (301) 837–1738, about the 

existence of nitrocellulose film 

materials for a determination of whether 

they may be destroyed or retained after 

a copy is made by the agency for 

transfer to NARA. If NARA appraises 

nitrate film materials as disposable and 

the agency wishes to retain them, the 

agency must follow the standard NFPA 

40–2007 (incorporated by reference, see 

§ 1237.3). 

(3) Follow the packing and shipping 

of nitrate film as specified in 

Department of Transportation 

regulations (49 CFR 172.101, Hazardous 

materials table; 172.504, Transportation; 

173.24, Standard requirements for all 

packages; and 173.177, Motion picture 

film and X-ray film—nitrocellulose 

base). 

(b) Agencies must inspect celluloseacetate film periodically for an acetic 

odor, wrinkling, or the presence of 

crystalline deposits on the edge or 

surface of the film that indicate 

deterioration. Agencies must notify the 

National Archives and Records 

Administration, Modern Records 

Program (NWM), 8601 Adelphi Road, 

College Park, MD 20740, phone number 

(301) 837–1738, immediately after 

inspection about deteriorating 

permanent or unscheduled audiovisual 

records composed of cellulose acetate so 

that they can be copied by the agency 

prior to transfer of the original and 

duplicate film to NARA. 

PART 1238—MICROFORMS RECORDS 

MANAGEMENT 

Subpart A—General 

1238.1 What is the scope of this part? 

1238.2 What are the authorities for part 

1238? 

1238.3 What definitions apply to this part? 

1238.4 What standards are used as guidance 

for this part? 

1238.5 What publications are incorporated 

by reference? 

Subpart B—Microfilming Standards 

1238.10 What are the format standards for 

microfilming records? 

1238.12 What documentation is required 

for microfilmed records? 

1238.14 What are the microfilming 

requirements for permanent and 

unscheduled records? 

1238.16 What are the microfilming 

requirements for temporary records, 

duplicates, and user copies? 

Subpart C—Storage, Use, and Disposition 

Standards for Microform Records 

1238.20 How must microform records be 

stored? 

1238.22 What are the inspection 

requirements for permanent and 

unscheduled microform records? 

1238.24 What are NARA inspection 

requirements for temporary microform 

records? 

1238.26 What are the restrictions on use for 

permanent and unscheduled microform 

records? 

1238.28 What must agencies do when 

sending permanent microform records to 

a records storage facility? 

1238.30 What must agencies do when 

transferring permanent microform 

records to the National Archives of the 

United States? 

1238.32 Do agencies need to request NARA 

approval for the disposition of all 

microform and source records? 

Authority: 44 U.S.C. chapters 29 and 33. 

Subpart A—General 

§ 1238.1 What is the scope of this part? 

This part covers the standards and 

procedures for using micrographic 

technology in the management of 

Federal records. 

§ 1238.2 What are the authorities for part 

1238? 

The statutory authorities for this part 

are 44 U.S.C. chapters 29 and 33. 

§ 1238.3 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used in part 1238. 

§ 1238.4 What standards are used as 

guidance for this part? 

These regulations conform with 

guidance provided in ISO15489–1:2001, 

part 7.1 (Principles of records 

management programmes), and 9.6 

(storage and handling). 

§ 1238.5 What publications are 

incorporated by reference in this part? 

(a) Certain material is incorporated by 

reference into this part with the 

approval of the Director of the Federal 

Register under 5 U.S.C. 552(a) and 1 

CFR part 51. To enforce any edition 

other than that specified in this section, 

NARA must publish notice of change in 

the Federal Register and the material 

must be available to the public. All 

approved material is available for 

inspection at the Office of the Federal 

Register. For information on the 

availability of this material at the Office 

of the Federal Register, call (202) 741– 

6030 or go to http://www.archives.gov/ 

federal_register/ 

code_of_federal_regulations/ 

ibr_locations.html. 


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(b) The material incorporated by 

reference is also available for inspection 

at NARA’s Archives Library Information 

Center (NWCCA), Room 2380, 8601 

Adelphi Road, College Park, MD 20740– 

6001, phone number (301) 837–3415, 

and is available for purchase from the 

sources listed below. If you experience 

difficulty obtaining the standards 

referenced below, contact NARA’s 

Policy and Planning Staff (NPOL), 

National Archives and Records 

Administration, 8601 Adelphi Road, 

College Park, MD 20740–6001, phone 

number (301) 837–1850. 

(c) American National Standards 

Institute (ANSI) and International 

Organization for Standards (ISO) 

standards. The following ANSI and ISO 

standards are available from the 

American National Standards Institute, 

25 West 43rd St., 4th Floor, New York, 

NY 10036, phone number (212) 642– 

4900,or online at http:// 

webstore.ansi.org. 

(1) ANSI/AIIM MS1–1996 (‘‘ANSI/ 

AIIM MS1’’), Standard Recommended 

Practice for Alphanumeric ComputerOutput Microforms—Operational 

Practices for Inspection and Quality 

Control, August 8, 1996, IBR approved 

for § 1238.14. 

(2) ANSI/AIIM MS5–R1998) (‘‘ANSI/ 

AIIM MS5’’), Standard for Information 

and Image Management—Microfiche, 

December, 1998, IBR approved for 

§ 1238.10. 

(3) ANSI/AIIM MS14–1996 (‘‘ANSI/ 

AIIM MS14’’), Standard Recommended 

Practice—Specifications for 16mm and 

35mm Roll Microfilm, August 8, 1996, 

IBR approved for § 1238.10. 

(4) ANSI/AIIM MS19–1993 (‘‘ANSI/ 

AIIM MS19’’), Standard Recommended 

Practice—Identification of Microforms, 

August 18, 1993, IBR approved for 

§ 1238.12. 

(5) ANSI/AIIM MS32–1996 (‘‘ANSI/ 

AIIM MS32’’), Standard Recommended 

Practice—Microrecording of 

Engineering Source Documents on 

35mm Microfilm, February 16, 1996, 

IBR approved for § 1238.10. 

(6) ANSI/AIIM MS41–1996 (‘‘ANSI/ 

AIIM MS41’’), Dimensions of Unitized 

Microfilm Carriers and Apertures 

(Aperture, Camera, Copy and Image 

Cards), July 16, 1996, IBR approved for 

§ 1238.10. 

(7) ANSI/AIIM MS43–1998 (‘‘ANSI/ 

AIIM MS43’’), Standard Recommended 

Practice—Operational Procedures— 

Inspection and Quality Control of 

Duplicate Microforms of Documents and 

From COM), June 2, 1998, IBR approved 

for § 1238.14, 

(8) ANSI/AIIM MS45–1990 (‘‘ANSI/ 

AIIM MS 45’’), Recommended Practice 

for Inspection of Stored Silver-Gelatin 

Microforms for Evidence of 

Deterioration, January 22, 1990, IBR 

approved for § 1238.22. 

(9) ISO 18911:2000 (‘‘ISO 18911’’), 

Imaging materials—Processed safety 

photographic films—Storage practices, 

First Edition, November 1, 2000, IBR 

approved for § 1238.20. 

(d) Techstreet. The following 

standards are available from the 

standards reseller Techstreet, 3916 

Ranchero Drive, Ann Arbor, MI 48108, 

phone number (800) 699–9277, or 

online at www.Techstreet.com. 

(1) ISO 18901:2002 (‘‘ISO 18901’’), 

Imaging Materials—Processed silvergelatin type black-and-white films— 

Specifications for stability, February 15, 

2002, IBR approved for §§ 1238.10, 

1238.14, and 1238.20. 

(2) Reserved 

(e) Document Center Inc. The 

following are available from the 

standards reseller the Document Center 

Inc., 111 Industrial Road, Suite 9, 

Belmont, CA, 94002, phone number 

(650) 591–7600, or online at http:// 

www.document-center.com. 

(1) ANSI/NAPM IT2.19–1994 (‘‘ANSI/ 

NAPM IT2.19), American National 

Standard for Photography—Density 

Measurements—Part 2: Geometric 

Conditions for Transmission Density, 

February 20, 1995, IBR approved for 

§ 1238.14. 

(2) ANSI/PIMA IT9.2–1998 (‘‘ANSI/ 

PIMA IT9.2’’), Photographic Processed 

Films, Plates, and Papers-Filing 

Enclosures and Storage Containers, 

April 15, 1998, IBR approved for 

§§ 1238.10 and 1238.20. 

(3) ANSI/AIIM MS 23–1998 (‘‘ANSI/ 

AIIM MS23’’), Standard Recommended 

Practice—Production, Inspection, and 

Quality Assurance of First-Generation, 

Silver Microforms of Documents, June 2, 

1998, IBR approved for §§ 1238.10 and 

1238.14. 

(4) ANSI/ISO 3334–1991, ANSI/AIIM 

MS51–1991 (‘‘ANSI/ISO 3334, ANSI/ 

AIIM MS51’’), Micrographics—ISO 

Resolution Test Chart No. 2— 

Description and Use, May 10, 1991, IBR 

approved for § 1238.14. 

(5) ANSI/NAPM IT2.18–1996 (‘‘ANSI/ 

NAPM IT2.18’’), American National 

Standard for Photography—Density 

Measurements—Part 3: Spectral 

Conditions, March 8, 1996, IBR 

approved for § 1238.14. 

Subpart B—Microfilming Standards 

§ 1238.10 What are the format standards 

for microfilming records? 

The following formats must be used 

when microfilming records: 

(a) Roll film—(1) Source documents. 

The formats described in ANSI/AIIM 

MS14 (incorporated by reference, see 

§ 1238.5) must be used for microfilming 

source documents on 16mm and 35mm 

roll film. A reduction ratio no greater 

than 1:24 is recommended for 

correspondence or similar typewritten 

documents. Use ANSI/AIIM MS23 

(incorporated by reference, see § 1238.5) 

for the appropriate reduction ratio and 

format for meeting image quality 

requirements. When microfilming on 

35mm film for aperture card 

applications, the format dimensions in 

ANSI/AIIM MS32 (incorporated by 

reference, see § 1238.5), Table 1 must be 

used, and the aperture card format ‘‘D 

Aperture’’ shown in ANSI/AIIM MS41 

(incorporated by reference, see 

§ 1238.5), Figure 1, must be used. The 

components of the aperture card, 

including the paper and adhesive, must 

conform to the requirements of ANSI/ 

PIMA IT9.2 (incorporated by reference, 

see § 1238.5). The 35mm film used in 

the aperture card application must 

conform to film designated as LE 500 in 

ISO 18901 (incorporated by reference, 

see § 1238.5). 

(2) COM. Microfilm created using 

computer output microfilm (COM) 

technology must use the simplex mode 

described in ANSI/AIIM MS14 

(incorporated by reference, see § 1238.5) 

at an effective ratio of 1:24 or 1:48 

depending upon the application. 

(b) Microfiche. When creating 

microfiche, either by microfilming 

source documents or using COM 

technology, the formats and reduction 

ratios prescribed in ANSI/AIIM MS5 

(incorporated by reference, see § 1238.5) 

must be used as specified for the size 

and quality of the documents being 

filmed. Use ANSI/AIIM MS23 

(incorporated by reference, see § 1238.5) 

for determining the appropriate 

reduction ratio and format for meeting 

the image quality requirements. 

(c) Index placement—(1) Source 

documents. When microfilming source 

documents, place indexes, registers, or 

other finding aids, if microfilmed, either 

in the first frames of the first roll of film 

or in the last frames of the last roll of 

film of a series. For microfiche, place 

the indexes in the last frames of the last 

microfiche or microfilm jacket of a 

series. 

(2) COM. Place indexes on COM 

following the data on a roll of film, in 

the last frames of a single microfiche, or 

in the last frames of the last fiche in a 

series. Other locations for indexes may 

be used only if dictated by special 

system constraints. 


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§ 1238.12 What documentation is required 

for microfilmed records? 

Agencies must ensure that the 

microforms capture all information 

contained on the source documents and 

that they can be used for the purposes 

the source documents served. 

Microform records must be labeled and 

organized to support easy retrieval and 

use. Agencies must: 

(a) Arrange, describe, and index the 

filmed records to permit retrieval of any 

particular document or component of 

the records. 

(b) Title each microform roll or fiche 

with a titling target or header. For fiche, 

place the titling information in the first 

frame if the information will not fit on 

the header. At a minimum, titling 

information must include: 

(1) The title of the records; 

(2) The number or identifier for each 

unit of microform; 

(3) The security classification, if any; 

and 

(4) The name of the agency and suborganization, the inclusive dates, names, 

or other data identifying the records to 

be included on a unit of microform. 

(c) Add an identification target 

showing the date of microfilming. When 

necessary to give the microform copy 

legal standing, the target must also 

identify the person who authorized the 

microfilming. Use ANSI/AIIM MS19 

(incorporated by reference, see § 1238.5) 

for standards for identification targets. 

§ 1238.14 What are the microfilming 

requirements for permanent and 

unscheduled records? 

(a) Agencies must apply the standards 

in this section when microfilming: 

(1) Permanent paper records where 

the original paper record will be 

destroyed (only after authorization from 

NARA); 

(2) Unscheduled paper records where 

the original paper record will be 

destroyed (only after authorization from 

NARA); and 

(3) Permanent and unscheduled 

original microform records (no paper 

originals) produced by automation, such 

as COM. 

(b) Agencies must use polyester-based 

silver gelatin type film that conforms to 

ISO 18901 (incorporated by reference, 

see § 1238.5) for LE 500 film in all 

applications. 

(c) Agencies must process microforms 

so that the residual thiosulfate ion 

concentration will not exceed 0.014 

grams per square meter in accordance 

with ISO 18901 (incorporated by 

reference, see § 1238.5) and use the 

processing procedures in ANSI/AIIM 

MS1 and ANSI/AIIM MS23 (both 

incorporated by reference, see § 1238.5). 

(d) Agencies must use the following 

standards for quality: 

(1) Resolution—(i) Source documents. 

Agencies must determine minimum 

resolution on microforms of source 

documents using the method in the 

Quality Index Method for determining 

resolution and anticipated losses when 

duplicating, as described in ANSI/AIIM 

MS23 and ANSI/AIIM MS43 (both 

incorporated by reference, see § 1238.5). 

Agencies must perform resolution tests 

using an ANSI/ISO 3334 Resolution 

Test Chart (incorporated by reference, 

see § 1238.5) or a commercially 

available certifiable target manufactured 

to comply with this standard, and read 

the patterns following the instructions 

of ANSI/ISO 3334. Agencies must use 

the smallest character used to display 

information to determine the height 

used in the Quality Index formula. 

Agencies must use a Quality Index of 

five at the third generation level. 

(ii) COM. COM must meet the 

requirements of ANSI/AIIM MS1 

(incorporated by reference, see 

§ 1238.5). 

(2) Background density of images. 

Agencies must use the background ISO 

standard visual diffuse transmission 

density on microforms appropriate to 

the type of documents being filmed. 

Agencies must use the procedure for 

density measurement described in 

ANSI/AIIM MS23 (incorporated by 

reference, see § 1238.5). The 

densitometer must meet with ANSI/ 

NAPM IT2.18 (incorporated by 

reference, see § 1238.5) for spectral 

conditions and ANSI/NAPM IT2.19 

(incorporated by reference, see § 1238.5) 

for geometric conditions for 

transmission density. 

(i) Recommended visual diffuse 

transmission background densities for 

images of documents are as follows: 

Classification Description of document Background 

density 

Group 1 .......................... High-quality, high contrast printed book, periodicals, and black typing ................................................. 1.3–1.5 

Group 2 .......................... Fine-line originals, black opaque pencil writing, and documents with small high contrast printing ....... 1.15–1.4 

Group 3 .......................... Pencil and ink drawings, faded printing, and very small printing, such as footnotes at the bottom of a 

printed page.

1.0–1.2 

Group 4 .......................... Low-contrast manuscripts and drawing, graph paper with pale, fine-colored lines; letters typed with a 

worn ribbon; and poorly printed, faint documents.

0.8–1.0 

Group 5 .......................... Poor-contrast documents (special exception). ........................................................................................ 0.7–0.85 

(ii) Recommended visual diffuse 

transmission densities for computer 

generated images are as follows: 

Film type Process Density measurement method Min. Dmax 1 Max. Dmin 1

Minimum 

density 

difference 

Silver gelatin ................. Conventional ................ Printing or diffuse ............................................... 0.75 0.15 0.60 

Silver gelatin ................. Full reversal ................. Printing ............................................................... 1.50 0.20 1.30 

1 Character or line density, measured with a microdensitometer or by comparing the microfilm under a microscope with an image of a known 

density. 

(3) Base plus fog density of 

microfilms. The base plus fog density of 

unexposed, processed microfilms must 

not exceed 0.10. When a tinted base film 

is used, the density will be increased. 

The difference must be added to the 

values given in the tables in paragraph 

(d)(2) of this section. 

(4) Line or stroke width. Due to optical 

limitations in most micrographic 

systems, microfilm images of thin lines 

appearing in the source documents will 


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tend to fill in as a function of their 

width and density. Therefore, as the 

reduction ratio of a given system is 

increased, reduce the background 

density as needed to ensure that the 

copies will be legible. 

§ 1238.16 What are the microfilming 

requirements for temporary records, 

duplicates, and user copies? 

(a) Temporary records with a 

retention period over 99 years. Agencies 

must use the microfilming requirements 

in § 1238.14. 

(b) Temporary records to be kept for 

less than 99 years, duplicates, and user 

copies. NARA does not require the use 

of specific standards for these 

microforms. Agencies may select a film 

stock that meets their needs and ensures 

the preservation of the microforms for 

their full retention period. NARA 

recommends that agencies consult 

appropriate standards, available as 

noted in § 1238.3, and manufacturer’s 

instructions for processing production, 

and maintenance of microform to ensure 

that the images are accessible and 

usable for the entire retention period of 

the records. 

Subpart C—Storage, Use, and 

Disposition of Microform Records 

§ 1238.20 How must microform records be 

stored? 

(a) Permanent and unscheduled 

records. Agencies must store permanent 

and unscheduled microform records 

under the extended term storage 

conditions specified in ISO 18911 and 

ANSI/PIMA IT9.2 (both incorporated by 

reference, see § 1238.5), except that the 

relative humidity of the storage area 

must be a constant 35 percent RH, plus 

or minus 5 percent. Non-silver copies of 

microforms must be maintained in a 

different storage area than are silver 

gelatin originals or duplicate copies). 

(b) Temporary records. Agencies must 

store temporary microform records 

under conditions that will ensure their 

preservation for their authorized 

retention period. NARA suggests that 

agencies may consult Life Expectance 

(LE) guidelines in ISO 18901 

(incorporated by reference, see 

§ 1238.5). 

§ 1238.22 What are the inspection 

requirements for permanent and 

unscheduled microform records? 

(a) Agencies must inspect, or arrange 

for a contractor or NARA to inspect 

master microform of permanent or 

unscheduled records following the 

inspection requirements in paragraph 

(b) of this section. 

(b) The microforms listed in 

paragraph (a) of this section must be 

inspected initially in accordance with 

ANSI/AIIM MS45 (incorporated by 

reference, see § 1238.5). All microforms 

must be inspected when they are two 

years old. After the initial two-year 

inspection, unless there is a catastrophic 

event, the microforms must be inspected 

as follows until they are transferred to 

NARA: 

(1) For microfilm produced after 1990, 

inspect the microfilm every 5 years. 

(2) For microfilm produced prior to 

1990, inspect the microfilm every 2 

years. 

(c) To facilitate inspection, the agency 

must maintain an inventory that lists 

each microform series or publication by 

production date, producer, processor, 

format, and results of previous 

inspections. 

(d) The inspection must include the 

following elements: 

(1) An inspection for aging blemishes 

following ANSI/AIIM MS45 

(incorporated by reference, see 

§ 1238.5); 

(2) A rereading of resolution targets; 

(3) A remeasurement of density; and 

(4) A certification of the 

environmental conditions under which 

the microforms are stored, as specified 

in § 1238.20(a). 

(e) The agency must prepare an 

inspection report, and send a copy to 

NARA in accordance with § 1238.28(c). 

The inspection report must contain: 

(1) A summary of the inspection 

findings, including: 

(i) A list of batches by year that 

includes the identification numbers of 

microfilm rolls and microfiche in each 

batch; 

(ii) The quantity of microforms 

inspected; 

(iii) An assessment of the overall 

condition of the microforms; 

(iv) A summary of any defects 

discovered, e.g., redox blemishes or base 

deformation; and 

(v) A summary of corrective actions 

taken. 

(2) A detailed inspection log created 

during the inspection that contains the 

following information: 

(i) A complete description of all 

records inspected (title; roll or fiche 

number or other unique identifier for 

each unit of film inspected; security 

classification, if any; and inclusive 

dates, names, or other data identifying 

the records on the unit of film); 

(ii) The date of inspection; 

(iii) The elements of inspection (see 

paragraph (d) of this section); 

(iv) Any defects uncovered; and 

(v) The corrective action taken. 

(f) If an inspection finds that a master 

microform is deteriorating, the agency 

must make a silver duplicate in 

accordance with § 1238.14 to replace the 

deteriorating master. The duplicate 

microform must meet inspection 

requirements (see § 1238.22) before it 

may be transferred to a record center or 

NARA. 

(g) Inspections must be conducted in 

environmentally controlled areas in 

accordance with ANSI/AIIM MS45 

(incorporated by reference, see 

§ 1238.5). 

§ 1238.24 What are NARA inspection 

requirements for temporary microform 

records? 

NARA recommends, but does not 

require, that agencies use the inspection 

procedures described in § 1238.22(a). 

§ 1238.26 What are the restrictions on use 

for permanent and unscheduled microform 

records? 

(a) Agencies must not use the silver 

gelatin master microform or duplicate 

silver gelatin microform of permanent or 

unscheduled records created in 

accordance with § 1238.14 of this part 

for reference purposes. Agencies must 

ensure that the master microform 

remains clean and undamaged during 

the process of making a duplicating 

master. 

(b) Agencies must use duplicates for: 

(1) Reference; 

(2) Further duplication on a recurring 

basis; 

(3) Large-scale duplication; and 

(4) Distribution of records on 

microform. 

(c) Agencies retaining the original 

record in accordance with an approved 

records disposition schedule may apply 

agency standards for the use of 

microform records. 

§ 1238.28 What must agencies do when 

sending permanent microform records to a 

records storage facility? 

Agencies must: 

(a) Follow the procedures in part 1232 

of this chapter and the additional 

requirements in this section. 

(b) Package non-silver copies 

separately from the silver gelatin 

original or silver duplicate microform 

copy and clearly label them as nonsilver copies. 

(c) Include the following information 

on the transmittal (SF 135 for NARA 

Federal Records Centers), or in an 

attachment to the transmittal. For 

records sent to an agency records center 

or commercial records storage facility, 

submit this information to NARA as part 

of the documentation required by 

§ 1232.14 of this subchapter: 

(1) Name of the agency and program 

component; 

(2) The title of the records and the 

media and format used; 


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(3) The number or identifier for each 

unit of microform; 

(4) The security classification, if any; 

(5) The inclusive dates, names, or 

other data identifying the records to be 

included on a unit of microform; 

(6) Finding aids that are not contained 

in the microform; and 

(7) The inspection log forms and 

inspection reports required by 

§ 1238.22(e). 

(d) Agencies may transfer permanent 

microform records to a records storage 

facility meeting the storage 

requirements in § 1232.14(a) (see 

§ 1233.10 of this subchapter for NARA 

Federal Records Centers) of this 

subchapter only after the first inspection 

or with certification that the microforms 

will be inspected by the agency, a 

contractor, or a NARA Federal Records 

Center (on a reimbursable basis) when 

the microforms become 2 years old. 

§ 1238.30 What must agencies do when 

transferring permanent microform records 

to the National Archives of the United 

States? 

Agencies must: 

(a) Follow the procedures in part 1235 

of this subchapter and the additional 

requirements in this section. 

(b) If the records are not in a NARA 

Federal Records Center, submit the 

information specified in § 1232.14(c) of 

this subchapter. 

(c) Transfer the silver gelatin original 

(or duplicate silver gelatin microform 

created in accordance with § 1238.14) 

plus one microform copy. 

(d) Ensure that the inspections of the 

microforms are up-to-date. NARA will 

not accession permanent microform 

records until the first inspection has 

been performed (when the microforms 

are 2 years old). 

(e) Package non-silver copies 

separately from the silver gelatin 

original or silver duplicate microform 

copy and clearly label them as nonsilver copies. 

§ 1238.32 Do agencies need to request 

NARA approval for the disposition of all 

microform and source records? 

(a) Permanent or unscheduled 

records. Agencies must schedule both 

source documents (originals) and 

microforms. NARA must approve the 

schedule, SF 115, Request for Records 

Disposition Authority, in accordance 

with part 1225 of this subchapter before 

any records, including source 

documents, may be destroyed. 

(1) Agencies that comply with the 

standards in § 1238.14 must include on 

the SF 115 the following certification: 

‘‘This certifies that the records 

described on this form were (or will be) 

microfilmed in accordance with the 

standards set forth in 36 CFR part 

1238.’’ 

(2) Agencies using microfilming 

methods, materials, and procedures that 

do not meet the standards in 

§ 1238.14(a) must include on the SF 115 

a description of the system and 

standards used. 

(3) When an agency intends to retain 

the silver original microforms of 

permanent records and destroy the 

original records, the agency must certify 

in writing on the SF 115 that the 

microform will be stored in compliance 

with the standards of § 1238.20 and 

inspected as required by § 1238.22. 

(b) Temporary records. Agencies do 

not need to obtain additional NARA 

approval when destroying scheduled 

temporary records that have been 

microfilmed. The same approved 

retention period for temporary records 

is applied to microform copies of these 

records. The original records can be 

destroyed once microfilm is verified, 

unless legal or other requirements 

prevent their early destruction. 

PART 1239—PROGRAM ASSISTANCE 

AND INSPECTIONS 

Subpart A—General 

Sec. 

1239.1 What is the scope of this part? 

1239.2 What are the authorities for part 

1239? 

1239.3 What definitions apply to this part? 

1239.4 What standards are used as guidance 

for this part? 

Subpart B—Program Assistance 

1239.10 What program assistance does 

NARA provide? 

1239.12 Whom may agencies contact to 

request assistance? 

Subpart C—Inspections 

1239.20 When will NARA undertake an 

inspection? 

1239.22 How does NARA notify the agency 

of the inspection? 

1239.24 How does NARA conduct an 

inspection? 

1239.26 What are an agency’s follow up 

obligations for an inspection report? 

Authority: 44 U.S.C. 2904 and 2906. 

Subpart A—General 

§ 1239.1 What is the scope of this part? 

NARA’s statutory authorities include 

assisting agencies in carrying out their 

records management responsibilities 

and, when necessary, inspecting agency 

programs and reporting to Congress on 

those inspections. Part 1239 identifies 

the types of records management 

guidance and program assistance NARA 

provides to agencies under its 44 U.S.C. 

chapter 29 mandate; the conditions 

under which NARA will invoke its 

inspection authority, also under chapter 

29; and the requirements for agencies to 

cooperate fully in such inspections. 

§ 1239.2 What are the authorities for part 

1239? 

The authorities for this part are 44 

U.S.C. 2904 and 2906. 

§ 1239.3 What definitions apply to this 

part? 

(a) See § 1220.18 of this subchapter 

for definitions of terms used in part 

1239. 

(b) As used in part 1239— 

Inspection means a formal review and 

report by NARA under 44 U.S.C. 2904(c) 

and 2906(a) of an agency’s 

recordkeeping processes that focus on 

significant records management 

problems affecting records at risk that 

meet one or more of the following 

criteria: 

(1) Have a direct and high impact on 

legal rights or government 

accountability; 

(2) Are the subject of high profile 

litigation, Congressional attention, or 

widespread media coverage; 

(3) Have high research potential; or 

(4) Are permanent records with a 

large volume, regardless of format. 

§ 1239.4 What standards are used as 

guidance for this part? 

These regulations conform with 

guidance provided in ISO 15489– 

1:2001. Paragraphs 7.1, Principles of 

records management programmes, and 

10, Monitoring and auditing, apply to 

this part. 

Subpart B—Program Assistance 

§ 1239.10 What program assistance does 

NARA provide? 

(a) NARA publishes handbooks, 

conducts workshops and other training 

sessions, and furnishes information and 

guidance to Federal agencies about the 

creation of records, their maintenance 

and use, and their disposition. NARA 

also may conduct a targeted assistance 

project in cooperation with an agency to 

address a serious records management 

issue in the agency. 

(b) Information on NARA handbooks 

and guidance is available at http:// 

www.archives.gov/records-mgmt/. 

(c) Information on NARA training is 

available at http://www.archives.gov/ 

records-mgmt/training/. 

§ 1239.12 Whom may agencies contact to 

request program assistance? 

Agencies in the Washington, DC, area 

desiring information or assistance 

related to any of the areas covered by 

subchapter B may contact the National 

Archives and Records Administration, 

Life Cycle Management Division 


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(NWML), 8601 Adelphi Rd., College 

Park, MD 20740–6001, phone number 

301–837–1738. Agency field 

organizations may contact the 

appropriate NARA Regional 

Administrator regarding records 

management assistance, including for 

records in or scheduled for transfer to 

the records center or the archival 

operations within the region. 

Subpart C—Inspections 

§ 1239.20 When will NARA undertake an 

inspection? 

NARA may undertake an inspection 

when an agency fails to address specific 

records management problems 

involving high risk to significant 

records. Problems may be identified 

through a risk assessment or through 

other means, such as reports in the 

media, Congressional inquiries, 

allegations of unauthorized destruction, 

reports issued by the GAO or an 

agency’s Inspector General, or 

observations by NARA staff members. 

Inspections will be undertaken when 

other NARA program assistance efforts 

(see § 1239.10) have failed to mitigate 

situations where there is a high risk of 

loss of significant records, or when 

NARA agrees to a request from the 

agency head that NARA conduct an 

inspection to address specific 

significant records management issues 

in the agency. NARA reports to 

Congress and the Office of Management 

and Budget on inspections in 

accordance with 44 U.S.C. 2904. 

§ 1239.22 How does NARA notify the 

agency of the inspection? 

(a) Once NARA identifies the need to 

conduct an agency inspection, the 

Archivist of the United States sends a 

letter to the head of the agency. If the 

agency being inspected is a component 

of a cabinet department, the letter will 

be addressed to the head of the 

component, with a copy sent to the head 

of the department. NARA will also send 

copies to the agency’s records officer. 

The letter will include: 

(1) Notification that NARA intends to 

conduct an inspection, the records that 

will be inspected, and the issues to be 

addressed; 

(2) A beginning date for the 

inspection that is no more than 30 days 

after the date of the letter; and 

(3) A request that the agency appoint 

a point of contact who will assist NARA 

in conducting the inspection. 

(b) If the agency does not respond to 

NARA’s notification letter, NARA will 

use its statutory authority under 44 

U.S.C. 2904(c)(8) to report the matter to 

the agency’s congressional oversight 

committee and to the Office of 

Management and Budget. 

§ 1239.24 How does NARA conduct an 

inspection? 

(a) The NARA inspection team leader 

will coordinate with the agency point of 

contact to arrange an initial meeting 

with the agency. The initial meeting 

will address such matters as the 

parameters of the inspection, any 

surveys or other inspection instruments, 

the offices to be visited, and the timing 

of site visits. 

(b) After the inspection is complete, 

NARA will prepare a draft inspection 

report and transmit it to the agency 

within 45 calendar days of the last site 

visit. The report will include: 

(1) An executive summary; 

(2) Background and purpose of 

inspection; 

(3) Inspection methodology, including 

offices visited; 

(4) Findings; 

(5) Corrective actions needed and 

other recommendations; and 

(6) Any necessary appendixes, such as 

summaries of each site visit or the 

inspection instrument. 

(c) The draft report is sent to the 

agency for review, with a response 

deadline of 45 days. 

(d) NARA will incorporate any 

necessary corrections or revisions in the 

final report and issue the report to the 

head of the agency within 45 days. 

§ 1239.26 What are an agency’s follow up 

obligations for an inspection report? 

The agency must submit a plan of 

corrective action that specifies how the 

agency will address each inspection 

report recommendation, including a 

timeline for completion, and proposed 

progress reporting dates. The agency 

must submit the plan of corrective 

action to NARA within 60 days of 

transmission of the final report. NARA 

may take up to 60 days to review and 

comment on the plan. Once the plan is 

agreed upon by both sides, agencies 

must submit progress reports to NARA 

until all actions are completed. 

PARTS 1240–1249—[RESERVED] 

Adrienne C. Thomas, 

Acting Archivist of the United States. 

[FR Doc. E9–23613 Filed 10–1–09; 8:45 am] 

BILLING CODE 7515–01–P 


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