[Federal Register Volume 74, Number 190 (Friday, October 2, 2009)]
[Rules and Regulations]
[Pages 51004-51060]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-23613]



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Part II





National Archives and Records Administration





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36 CFR Chapter XII, Subchapter B



Federal Records Management; Revision; Final Rule

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

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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.

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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 Sec.  1220.18

    Several comments concerned the definitions, or omissions of 
definitions, from Sec.  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 Sec.  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 Sec.  
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 Sec.  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 
Sec.  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 Sec.  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 Sec.  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 Sec.  1220.16 referred to both recorded 
information and documentary materials. Since ``documentary materials'' 
are defined in Sec.  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 Sec.  1220.18 were 
addressed earlier in this SUPPLEMENTARY INFORMATION.
    Three comments were received on Sec.  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 Sec.  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 Sec.  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 Sec.  
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 Sec.  
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 Sec.  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 Sec.  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 Sec.  1220.18 definition 
of record in Sec.  1222.12(b). We do not believe this is needed as the 
reference is contained in Sec.  1222.12(a).
    Another agency felt the proposed change to the second sentence in 
Sec.  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 Sec.  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 (Sec.  1222.12(b)(1)-(4)) 
should be removed because the examples were confusing and difficult to 
interpret; we have removed that item from Sec.  1222.12.
    One comment asked that we emphasize in Sec.  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 non-records. We note that Sec.  
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 Sec.  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 non-record materials.
    One agency stated that Sec.  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 Sec. Sec.  
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 Sec.  1220.18, which is 
referenced in Sec.  1220.20(a).
    Another agency expressed concern with Sec.  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 Sec.  1220.20(b)(2) allows.
    One agency suggested adding three additional types of records to 
the list in Sec.  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 Sec. Sec.  1222.22 and 1222.24 to the 
requirement in Sec.  1220.30 to document essential transactions, 
whether there are agency activities that aren't included in the list in 
Sec.  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 Sec.  
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 Sec.  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 Sec.  1220.30.
    One agency recommended incorporating language from Sec.  1224.10(d) 
relating to addressing records management requirements during the 
planning stages of an information technology system in Sec. Sec.  
1222.24 or 1222.26, or both. We did not adopt this comment. The 
provision is explicitly addressed in Sec.  1220.34(d) and (e) and Sec.  
1236.12.
    One commenter suggested adding a requirement to Sec.  1222.28 to 
create documentation of e-mail, phone calls, etc. We believe that Sec.  
1222.26, when taken in conjunction with Sec.  1222.28, provides this 
requirement. Section 1222.26 is focused on maintenance requirements. 
The commenter also suggested that Sec.  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 Sec.  
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 Sec.  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 Sec. Sec.  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 Sec. Sec.  
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 Sec.  
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 Sec.  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 Sec.  
1222.34(f) to reference Sec.  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 Sec. Sec.  1223.1 and 1223.14.
    One agency suggested adding to the definition of legal and 
financial rights records in Sec.  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 Sec.  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 Sec.  
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 Sec.  1224.10. One agency suggested that 
records management program promotion activities should be given more 
emphasis, either here or in Sec.  1220.34; we did not adopt this 
suggestion. We note that Sec.  1224.10(e) and Sec.  1220.34(f) require 
agencies to provide training and guidance to all employees on records 
management responsibilities. Another agency asked that Sec.  1224.10(b) 
state the time frame for dissemination of records schedules and General 
Records Schedules (GRS), noting that Sec.  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 Sec.  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 Sec.  1225.14(b)(2) in response to agency 
comments. To reflect that new schedules are media neutral, unless the 
agency proposes otherwise, we modified Sec.  1225.14(b)(2)(ii) to read 
``Physical type, if appropriate;'' and clarified what we meant by 
arrangement statement in Sec.  1225.14(b)(2)(iv).
    We modified Sec.  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 Sec.  
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 Sec.  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 Sec.  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 Sec.  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 
Sec.  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 Sec.  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 
Sec.  1226.12

[[Page 51008]]

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 Sec.  
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 Sec.  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 Sec.  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 Sec.  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 Sec.  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 Sec.  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 Sec.  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 Sec.  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 Sec.  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 Sec.  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 Sec.  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 Sec.  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 Sec.  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 Sec.  1233.14(b) that all active duty

[[Page 51009]]

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 Sec.  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 Sec.  
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 Sec.  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 Sec.  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 Sec.  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 (Sec.  1235.42(e)) and when Tape Archive (TAR) utility can 
be used for transferring electronic records (Sec. Sec.  1235.46 and 
1235.50). We also restored to Sec.  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 Sec.  1228.270(c)(1)(iii). We also added 
to Sec.  1235.50(d) the use of XML markup language.
    One agency objected to the specifications in Sec.  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 Sec.  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 Sec. Sec.  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 Sec.  1236.24 to state that transitory e-mail may be 
managed as specified in Sec.  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 Sec.  
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 Sec.  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 Sec. Sec.  1236.12 and 1237.28 pertaining to content, context, 
and structure of electronic information. We did not adopt this 
suggestion. While Sec.  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-and-file method of recordkeeping 
cannot always capture a complete record; we agree and Sec.  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.

[[Page 51010]]

Comments on Part 1237--Audiovisual, Cartographic, and Related Records 
Management

    One agency suggested adding ``orthophoto images'' to the list of 
cartographic records in Sec.  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 Sec.  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 Sec.  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 Sec. Sec.  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 Sec.  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.

------------------------------------------------------------------------
                                                    Notes on significant
          New section              Old section         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 Sec.  Sec.
                                                    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..........

[[Page 51011]]

 
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)  Substantive change in
                                 and (d).           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..........

[[Page 51012]]

 
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,         Note: The only
                                 Subpart K          changes between the
                                                    old and new sections
                                                    are the section
                                                    numbers and revised
                                                    IBR language for
                                                    Sec.   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.........

[[Page 51013]]

 
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)        NARA approval
                                 and(c)(1)-(c)(6).  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       Added digital
                                 1228.268.          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     Added cartographic
                                 (d).               records management.
1237.12.......................  .................  Reflects transfer
                                                    requirements from
                                                    1228.266.
1237.14.......................
1237.16.......................  1232.26(a), (c)-   Significant updates.
                                 (e).
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..........

[[Page 51014]]

 
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.

0
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.


Sec.  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.


Sec.  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.


Sec.  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.


Sec.  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.

[[Page 51015]]

Sec.  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.


Sec.  1220.14  Who must follow the regulations in Subchapter B?

    The regulations in Subchapter B apply to Federal agencies as 
defined in Sec.  1220.18.


Sec.  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.


Sec.  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

[[Page 51016]]

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 Sec.  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.


Sec.  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


Sec.  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.


Sec.  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;

[[Page 51017]]

    (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).


Sec.  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 Sec.  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 
<a href="/cdn-cgi/l/email-protection#efbda2c1ac8082829a81868c8e9b8680819caf818e9d8ec1888099"><span class="__cf_email__" data-cfemail="c1938cef82aeacacb4afa8a2a0b5a8aeafb281afa0b3a0efa6aeb7">[email protected]</span></a>. 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 <a href="/cdn-cgi/l/email-protection#0e5c43204d6163637b60676d6f7a6761607d4e606f7c6f20696178"><span class="__cf_email__" data-cfemail="f1a3bcdfb29e9c9c849f98929085989e9f82b19f908390df969e87">[email protected]</span></a>;
    (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 Sec.  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 Sec.  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


Sec.  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.


Sec.  1222.2  What definitions apply to this part?

    See Sec.  1220.18 of this subchapter for definitions of terms used 
in part 1222.


Sec.  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.


Sec.  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 Sec.  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 Sec.  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

[[Page 51018]]

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.


Sec.  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 Sec.  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.


Sec.  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 Sec.  
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.)


Sec.  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.


Sec.  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.


Sec.  1222.20  How are personal files defined and managed?

    (a) Personal files are defined in Sec.  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 (non-agency) 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


Sec.  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:

[[Page 51019]]

    (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.


Sec.  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 Sec.  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 Sec.  
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.


Sec.  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.


Sec.  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.


Sec.  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.


Sec.  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 non-Federal 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 contractor-operated 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.

[[Page 51020]]

    (4) Deferred ordering and delivery-of-data 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.


Sec.  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 Sec.  1222.16;
    (g) Maintain personal files separately from records in accordance 
with Sec.  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.


Sec.  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.


Sec.  1223.2  What definitions apply to this part?

    (a) See Sec.  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-and-interests'' 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

[[Page 51021]]

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.


Sec.  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.


Sec.  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 Sec.  1223.14.
    (2) [Reserved]


Sec.  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.


Sec.  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.


Sec.  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 Sec.  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.


Sec.  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.


Sec.  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.


Sec.  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.


Sec.  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 
Sec.  1233.12 of this subchapter, at a records storage facility.

[[Page 51022]]

    (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.


Sec.  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.


Sec.  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.


Sec.  1224.2  What definitions apply to this part?

    See Sec.  1220.18 of this subchapter for definitions of terms used 
in part 1224.


Sec.  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.


Sec.  1224.10  What must agencies do to implement an effective records 
disposition program?

    In order to properly implement the provisions of Sec. Sec.  
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 Sec.  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 Sec.  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.


Sec.  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.


Sec.  1225.2  What definitions apply to this part?

    See Sec.  1220.18 of this subchapter for definitions of terms used 
throughout Subchapter B, including part 1225.


Sec.  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.


Sec.  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.


Sec.  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-federal-records/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

[[Page 51023]]

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 Sec.  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 Sec.  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).


Sec.  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 Sec.  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.


Sec.  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 
Sec. Sec.  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.


Sec.  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 Sec.  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 Sec.  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

[[Page 51024]]

make the necessary corrections and resubmit the form to NARA.


Sec.  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 Sec.  
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.


Sec.  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 Sec.  1225.12(c)), unless Sec.  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.


Sec.  1225.24  When can an agency apply previously approved schedules 
to electronic records?

    If the conditions specified in Sec.  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 Sec.  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 
Sec.  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.


Sec.  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 Sec.  
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 Sec.  1226.18 of this subchapter.
    (d) Agencies must secure NARA approval of a change in the period of

[[Page 51025]]

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.


Sec.  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.


Sec.  1226.2  What definitions apply to this part?

    See Sec.  1220.18 of this subchapter for definitions of terms used 
throughout Subchapter B, including part 1226.


Sec.  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).


Sec.  1226.10  Must agencies apply approved schedules to their records?

    The application of approved schedules is mandatory except as 
provided in Sec. Sec.  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.


Sec.  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 <a href="/cdn-cgi/l/email-protection#dc8e91f29fb3b1b1a9b2b5bfbda8b5b3b2af9cb2bdaebdf2bbb3aa"><span class="__cf_email__" data-cfemail="c49689ea87aba9a9b1aaada7a5b0adabaab784aaa5b6a5eaa3abb2">[email protected]</span></a> 
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).


Sec.  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 Sec.  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 Sec.  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.


Sec.  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.


Sec.  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

[[Page 51026]]

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 Sec.  1225.26 of 
this subchapter. Agencies may retain records eligible for destruction 
until the new schedule is approved.


Sec.  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 Sec.  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.


Sec.  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 Sec.  1235.12 
of this subchapter.


Sec.  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.


Sec.  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).

[[Page 51027]]

Sec.  1227.1  What are the authorities for Part 1227?

    The statutory authority for this part is 44 U.S.C. 3303a(d).


Sec.  1227.2  What definitions apply to this part?

    See Sec.  1220.18 of this subchapter for definitions of terms used 
in part 1227.


Sec.  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).


Sec.  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.


Sec.  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   All agencies must follow the
 the provisions must be followed          disposition instructions of
 without exception.                       the GRS, regardless of whether
                                          or not they have existing
                                          schedules.
(2) Your agency does not have an         Your agency must follow the
 existing schedule for these records..    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     Your agency may follow the
 schedule and the new or revised GRS      disposition instructions in
 permits use of existing agency-          either the GRS or the existing
 specific schedules.                      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       No action is required.
 maintain any of the records addressed
 by that GRS.
------------------------------------------------------------------------

    (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 Sec.  
1235.34 of this subchapter.


Sec.  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.


Sec.  1228.1  What are the authorities for this part?

    The statutory authority for this part is 44 U.S.C. 2904.


Sec.  1228.2  What definitions apply to this part?

    See Sec.  1220.18 of this subchapter for definitions of terms used 
in part 1228.


Sec.  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.


Sec.  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.


Sec.  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

[[Page 51028]]

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 Sec.  1220.34(b) of this subchapter.


Sec.  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.


Sec.  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 Sec.  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.


Sec.  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.


Sec.  1229.2  What are the authorities for this part?

    The statutory authorities for this part are 44 U.S.C. 3310 and 
3311.


Sec.  1229.3  What definitions apply to this part?

    See Sec.  1220.18 of this subchapter for definitions of terms used 
in part 1229.


Sec.  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 <a href="/cdn-cgi/l/email-protection#85d7c8abc6eae8e8f0ebece6e4f1eceaebf6c5ebe4f7e4abe2eaf3"><span class="__cf_email__" data-cfemail="b0e2fd9ef3dfddddc5ded9d3d1c4d9dfdec3f0ded1c2d19ed7dfc6">[email protected]</span></a>, 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.


Sec.  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.


Sec.  1230.1  What are the authorities for part 1230?

    The statutory authorities for this part are 44 U.S.C. 3105 and 
3106.


Sec.  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).


Sec.  1230.3  What definitions apply to this part?

    (a) See Sec.  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.

[[Page 51029]]

    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 Sec.  
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.


Sec.  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.


Sec.  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).


Sec.  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 Sec.  1220.34(b) 
of this subchapter.


Sec.  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.


Sec.  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.


Sec.  1231.1  What is the authority for part 1231?

    The authority for this part is 44 U.S.C. 2908.


Sec.  1231.2  What definitions apply to this part?

    See Sec.  1220.18 of this subchapter for definitions of terms used 
throughout Subchapter B, including this part.


Sec.  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 Sec.  
1231.18(a).


Sec.  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.


Sec.  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.


Sec.  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.

[[Page 51030]]

Sec.  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 Sec.  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.


Sec.  1232.1  What are the authorities for part 1232?

    The statutory authorities for this part are 44 U.S.C. 2907 and 
3103.


Sec.  1232.2  What definitions apply to this part?

    See Sec.  1220.18 of this subchapter for definitions of terms used 
throughout Subchapter B, including part 1232.


Sec.  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.


Sec.  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 Sec.   1232.14(b)).
(c) Temporary records (excluding    Any storage facility that meets the
 Civilian Personnel Records).        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).
------------------------------------------------------------------------

Sec.  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 non-paper 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 Sec.  1232.16(a).
    (c) For all records being transferred, create documentation 
sufficient to identify and locate files. (See Sec.  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.


Sec.  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;

[[Page 51031]]

    (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 
Sec.  1226.18 of this subchapter.
    (2) Transfer permanent records to the National Archives of the 
United States in accordance with 36 CFR part 1235.


Sec.  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 Sec.  1232.16.
    (c) Retain temporary records until the expiration of their NARA-
approved retention period and no longer, except as provided for in 
Sec.  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 Sec.  1234.14 of this subchapter 
within one year of their re-appraisal, 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 
Sec.  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 Sec.  
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.


Sec.  1233.1  What are the authorities for part 1233?

    The statutory authorities for this part are 44 U.S.C. 2907 and 
3103.


Sec.  1233.2  What definitions apply to this part?

    See Sec.  1220.18 of this subchapter for definitions of terms used 
throughout Subchapter B, including part 1233.


Sec.  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

[[Page 51032]]

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.


Sec.  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 Sec.  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 Sec.  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.


Sec.  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.


Sec.  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).


Sec.  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).


Sec.  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/civilian-personnel/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/federal-agencies.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-fed-agency.html.

[[Page 51033]]

    (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 non-governmental 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-form-180.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).


Sec.  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 Sec.  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


Sec.  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.


Sec.  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.


Sec.  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

[[Page 51034]]

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 Sec.  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 Sec.  1234.12.
    (3) NFPA 42 (``NFPA 42''), Code for the Storage of Pyroxylin 
Plastic, 1997 Edition, IBR approved for Sec.  1234.12.
    (4) NFPA 54 (``NFPA 54''), National Fuel Gas Code, 2002 Edition, 
IBR approved for Sec.  1234.12.
    (5) NFPA 101 (``NFPA 101''), Life Safety Code, 1997 Edition, IBR 
approved for Sec.  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 Sec.  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 Sec.  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 Sec.  1234.14.
    (2) NFPA 221 (``NFPA 221''), Standard for Fire Walls and Fire 
Barrier Walls, 1994 Edition, November 1, 1994, IBR approved for Sec.  
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 Sec.  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 Sec. Sec.  
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 Sec.  
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 Sec.  1234.14.
    (2) UL 827 (``UL 827''), Central-Station 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 Sec.  
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 <a href="/cdn-cgi/l/email-protection#26474a4f45664847544708414950"><span class="__cf_email__" data-cfemail="99f8f5f0fad9f7f8ebf8b7fef6ef">[email protected]</span></a>.
    (1) ANSI/ASHRAE 55-1992 (``ANSI/ASHRAE 55''), Thermal Environmental 
Conditions for Human Occupancy, 1992, IBR approved for Sec.  1234.14.
    (2) ANSI/ASHRAE 62-1989 (``ANSI/ASHRAE 62''), Ventilation for 
Acceptable Indoor Air Quality, 1989, IBR approved for Sec.  1234.14.
    (3) UL 611 (``UL 611''), Central-Station Burglar-Alarm Systems, 
February 22, 1996, IBR approved for Sec.  1234.10


Sec.  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 
Sec.  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 Sec.  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 Sec.  1220.18 of this 
subchapter.
    Records center has the meaning specified in Sec.  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 Sec.  1220.18 
of this subchapter.

[[Page 51035]]

    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 Sec.  1220.18 of this 
subchapter.
    Unscheduled records has the meaning specified in Sec.  1220.18 of 
this subchapter.

Subpart B--Facility Standards


Sec.  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 Sec.  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 Sec.  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 Sec.  
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 Sec.  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

[[Page 51036]]

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.


Sec.  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 Sec.  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 Sec.  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 Sec.  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 Sec.  
1234.3), and the IAPMO/ANSI UMC 1,

[[Page 51037]]

Uniform Mechanical Code (incorporated by reference, see Sec.  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 Sec.  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 Sec.  1234.3), or NFPA 42 
(incorporated by reference, see Sec.  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.


Sec.  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 Sec.  1234.3);
    (2) ANSI/NAPM IT9.23 (incorporated by reference, see Sec.  1234.3);
    (3) ANSI/PIMA IT9.25 (incorporated by reference, see Sec.  1234.3);
    (4) ANSI/NAPM IT9.20 (incorporated by reference, see Sec.  1234.3); 
and/or
    (5) ANSI/NAPM IT9.18 (incorporated by reference, see Sec.  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 Sec.  1234.3), and ASHRAE Standard 62 
(incorporated by reference, see Sec.  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


Sec.  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.


Sec.  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

[[Page 51038]]

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 Sec. Sec.  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.


Sec.  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 Sec.  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


Sec.  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 Sec.  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 Sec.  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 Sec. Sec.  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 Sec.  
1234.12(s) are specified in Sec.  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

[[Page 51039]]

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.


Sec.  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 Sec.  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 Sec.  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 Sec.  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.


Sec.  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 Sec.  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

[[Page 51040]]



                       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  Desirable.
     controlled.
    Leases should provide security        Desirable.
     control for adjacent parking.
    Post signs and arrange for towing     Required.
     unauthorized vehicles.
    ID system and procedures for          Required.
     authorized parking (placard, decal,
     card key, etc.).
    Adequate lighting for parking         Required.
     areased.
Closed Circuit Television (CCTV)
 Monitoring:
    CCTV surveillance cameras with time   Recommended.
     lapse video recording.
Post signs advising of 24 hour video      Recommended.
 surveillance.
Lighting:
    Lighting with emergency power backup  Required.
Physical Barriers:
    Extend physical perimeter with        Desirable.
     barriers (concrete and/or steel
     composition).
    Parking barriers....................  Desirable.
------------------------------------------------------------------------
                             Entry Security
------------------------------------------------------------------------
Receiving/Shipping:
    Review receiving/shipping procedures  Required.
     (current).
    Implement receiving/shipping          Required.
     procedures (modified).
Access Control:
    Evaluate facility for security guard  Required.
     requirements.
    Security guard patrol...............  Recommended.
    Intrusion detection system with       Required.
     central monitoring capability.
    Upgrade to current life safety        Required.
     standards (fire detection, fire
     suppression systems, etc.).
Entrances/Exits:
    X-ray & magnetometer at public        Recommended.
     entrances.
    Require x-ray screening of all mail/  Recommended.
     packages.
    High security locks.................  Required.
------------------------------------------------------------------------
                            Interior Security
------------------------------------------------------------------------
Employee/Visitor Identification:
    Agency photo ID for all personnel     Recommended.
     displayed at all times.
    Visitor control/screening system....  Required.
    Visitor identification                Recommended.
     accountability system.
    Establish ID issuing authority......  Recommended.
Utilities:
    Prevent unauthorized access to        Required.
     utility areas.
    Provide emergency power to critical   Required.
     systems (alarm systems, radio
     communications, computer
     facilities, etc.).
Occupant Emergency Plans:                 ..............................
    Examine occupant emergency plans      Required.
     (OEP) and contingency procedures
     based on threats.
    OEPs in place, updated annually,      Required.
     periodic testing exercise.
    Assign & train OEP officials          Required.
     (assignment based on largest tenant
     in facility).
    Annual tenant training..............  Required.
Daycare Centers:
    Evaluate whether to locate daycare    Required.
     facilities in buildings with high
     threat activities.
    Compare feasibility of locating       Required.
     daycare in outside locations.
------------------------------------------------------------------------
                            Security Planning
------------------------------------------------------------------------
Intelligence Sharing:
    Establish law enforcement agency/     Required.
     security liaisons.
    Review/establish procedure for        Required.
     intelligence receipt/dissemination.
    Establish uniform security/threat     Required.
     nomenclature.
Training:
    Conduct annual security awareness     Required.
     training.
    Establish standardized unarmed guard  Required.
     qualifications/training
     requirements.
    Establish standardized armed guard    Required.
     qualifications/training
     requirements.
Tenant Assignment:
    Co-locate agencies with similar       Desirable.
     security needs.
    Do not co-locate high/low risk        Desirable.
     agencies.
Administrative Procedures:
    Establish flexible work schedule in   Desirable.
     high threat/high risk areas to
     minimize employee vulnerability to
     criminal activity.
    Arrange for employee parking in/near  Recommended.
     building after normal work hours.
    Conduct background security checks    Required.
     and/or establish security control
     procedures for service contract
     personnel.

[[Page 51041]]

 
Construction/Renovation:
    Install mylar film on all exterior    Recommended.
     windows (shatter protection).
    Review current projects for blast     Required.
     standards.
    Review/establish uniform standards    Required.
     for construction.
    Review/establish new design standard  Required.
     for blast resistance.
    Establish street set-back for new     Recommended.
     construction.
------------------------------------------------------------------------


          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     Avoid leasing facilities where parking
 Cannot Be Controlled.          cannot be controlled. If necessary,
                                relocate offices to facilities that do
                                provide added security through regulated
                                parking.
Lease Should Provide Control   Endeavor to negotiate guard services as
 for Adjacent Parking.          part of lease.
Post Signs and Arrange for     Procedures should be established and
 Towing Unauthorized Vehicles.  implemented to alert the public to
                                towing policies, and the removal of
                                unauthorized vehicles.
ID System and Procedures for   Procedures should be established for
 Authorized Parking.            identifying vehicles and corresponding
                                parking spaces (placard, decal, card
                                key, etc.)
Adequate Lighting for Parking  Effective lighting provides added safety
 Areas.                         for employees and deters illegal or
                                threatening activities.
------------------------------------------------------------------------
               Closed circuit television (CCTV) monitoring
------------------------------------------------------------------------
CCTV Surveillance Cameras      Twenty-four hour CCTV surveillance and
 With Time Lapse Video          recording is desirable at all locations
 Recording.                     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      Warning signs advising of twenty-four
 Hour Video Surveillance.       hour surveillance act as a deterrent in
                                protecting employees and facilities.
------------------------------------------------------------------------
                                Lighting
------------------------------------------------------------------------
Lighting with Emergency Power  Standard safety code requirement in
 Backup.                        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,     This security measure will only be
 With Barriers.                 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      Audit current standards for package entry
 Procedures (Current).          and suggest ways to enhance security.
Implement Receiving/Shipping   After auditing procedures for receiving/
 Procedures (Modified).         shipping, implement improved procedures
                                for security enhancements.
------------------------------------------------------------------------
                             Access Control
------------------------------------------------------------------------
Evaluate Facility for          If security guards are required, the
 Security Guard Requirements.   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     Desirable in Level I facilities, based on
 With Central Monitoring        evaluation for Level II facilities, and
 Capability.                    required for Levels III, IV and V.

[[Page 51042]]

 
Upgrade to Current Life        Required for all facilities as part of
 Safety Standards.              GSA design requirements, (e.g. fire
                                detection, fire suppression systems,
                                etc.)
------------------------------------------------------------------------
                             Entrances/Exits
------------------------------------------------------------------------
X-Ray and Magnetometer at      May be impractical for Level I and II
 Public Entrances.              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 packages entering building should be
 all Mail/Packages.             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        May not be required in smaller
 Personnel Displayed At All     facilities.
 Times.
Visitor Control/Security       Visitors should be readily apparent in
 System.                        Level I facilities. Other facilities may
                                ask visitors to sign-in with a
                                receptionist or guard, or require an
                                escort, or formal identification/badge.
Visitor Id Accountability      Stringent methods of control over visitor
 System.                        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           Develop procedures and establish
 Authority.                     authority for issuing employee and
                                visitor IDs.
------------------------------------------------------------------------
                                Utilities
------------------------------------------------------------------------
Prevent Unauthorized Access    Smaller facilities may not have control
 to Utility Areas.              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     Tenant agency is responsible for
 Critical Systems.              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     Review and update current OEP procedures
 Plan (OEP) and Contingency     for thoroughness. OEPs should reflect
 Procedures Based on Threats.   the current security climate.
Assign and Train OEP           Assignment based on GSA requirement that
 Officials.                     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   Conduct a thorough review of security and
 and Safety Standards.          safety standards.
Assess Feasibility of          If a facility is being considered for a
 Locating Day Care Within       day care center, an evaluation should be
 Federal Facility.              made based on the risk factors
                                associated with tenants and the location
                                of the facility.
------------------------------------------------------------------------
                          B.4 Security Planning
 
                          Intelligence Sharing
------------------------------------------------------------------------
Establish Law Enforcement      Intelligence sharing between law
 Agency/Security Liaisons.      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    Determine what procedures exist to ensure
 for Intelligence Receipt/      timely delivery of critical
 Dissemination.                 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/    To facilitate communication, standardized
 Threat Nomenclature.           terminology for Alert Levels should be
                                implemented. (Normal, Low, Moderate, and
                                High--As recommended by Security
                                Standards Committee)
------------------------------------------------------------------------
                                Training
------------------------------------------------------------------------
Conduct Annual Security        Provide security awareness training for
 Awareness Training.            all tenants. At a minimum, self-study
                                programs utilizing videos, and
                                literature, etc. should be implemented.
                                These materials should provide up-to-
                                date information covering security
                                practices, employee security awareness,
                                and personal safety, etc.

[[Page 51043]]

 
Establish Standardized Armed   Requirements for these positions should
 And Unarmed Guard              be standardized government wide.
 Qualifications/Training
 Requirements.
------------------------------------------------------------------------
                            Tenant Assignment
------------------------------------------------------------------------
Co-Locate Agencies With        To capitalize on efficiencies and
 Similar Security Needs.        economies, agencies with like security
                                requirements should be located in the
                                same facility if possible.
Do Not Co-Locate High/Low      Low risk agencies should not take on
 Risk Agencies.                 additional risk by being located with
                                high risk agencies.
------------------------------------------------------------------------
                        Administrative Procedures
------------------------------------------------------------------------
Establish Flexible Work        Flexible work schedules can enhance
 Schedule in High Threat/High   employee safety by staggering reporting
 Risk Area to Minimize          and departure times. As an example
 Employee Vulnerability to      flexible schedules might enable
 Criminal Activity.             employees to park closer to the facility
                                by reducing the demand for parking at
                                peak times of the day.
Arrange for Employee Parking   Minimize exposure to criminal activity by
 In/Near Building After         allowing employees to park at or inside
 Normal Work Hours.             the building.
Conduct Background Security    Establish procedures to ensure security
 Checks and/or Establish        where private contract personnel are
 Security Control Procedures    concerned. Procedures may be as simple
 for Service Contract           as observation or could include sign-in/
 Personnel.                     escort. Frequent visitors may
                                necessitate a background check with
                                contractor ID issued.
------------------------------------------------------------------------
                         Construction/Renovation
------------------------------------------------------------------------
Install Mylar Film on All      Application of shatter resistant material
 Exterior Windows (Shatter      to protect personnel and citizens from
 Protection).                   the hazards of flying glass as a result
                                of impact or explosion.
Review Current Projects For    Design and construction projects should
 Blast Standards.               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       Review, establish, and implement uniform
 Standards For Construction.    construction standards as it relates to
                                security considerations.
Review/Establish New Design    In smaller facilities or those that lease
 Standard for Blast             space, control over design standards may
 RESISTANCE.                    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  Every foot between a potential bomb and a
 New Construction.              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 Sec.  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 Sec.  1234.32).
    2. Specifications for NARA facilities using 15 foot high records 
storage. NARA fire-safety 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 Sec.  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 Sec.  1234.3). For facilities with 
roofs rated at 15 minutes or greater, provide \1/2\[sec] 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[sec] 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 Sec.  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

[[Page 51044]]

monitoring station (see UL 827 (incorporated by reference, see Sec.  
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 Sec.  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 1\1/2\ 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, 2\1/2\ inch hose outlets and a pumper connection. All 
threads must be compatible with local standards.
    m. Portable water-type fire extinguishers (2\1/2\ 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 Sec.  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


Sec.  1235.1  What are the authorities for part 1235?

    The statutory authorities for this part are 44 U.S.C. 2107 and 
2108.


Sec.  1235.2  What definitions apply to this part?

    See Sec.  1220.18 of this subchapter for definitions of terms used 
in part 1235.


Sec.  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.


Sec.  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.

[[Page 51045]]

    (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 Sec.  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 
Sec.  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 Sec.  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 <a href="/cdn-cgi/l/email-protection#aacbc6c3c9eac4cbd8cb84cdc5dc"><span class="__cf_email__" data-cfemail="f99895909ab997988b98d79e968f">[email protected]</span></a>.
    (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 Sec.  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 Sec.  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 Sec.  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 Sec.  1235.46.


Sec.  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.)


Sec.  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 Sec.  1235.14).


Sec.  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.


Sec.  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.


Sec.  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.


Sec.  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.


Sec.  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


Sec.  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.


Sec.  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

[[Page 51046]]

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.


Sec.  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


Sec.  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).


Sec.  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 
Sec.  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 
33\1/3\ 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

[[Page 51047]]

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, ``as-built'' 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 Sec.  1235.48(c) for 
transfer requirements for digital geospatial data records.


Sec.  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.


Sec.  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 Sec.  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, Sec.  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, Sec.   1235.4).
DLTtape IV with a DLT 7000 drive . . ..  ISO/IEC 15896 (incorporated by
                                          reference see, Sec.   1235.4).
DLTtape IV with a DLT 8000 drive . . ..  ISO/IEC 16382 (incorporated by
                                          reference see, Sec.   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 Sec.  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

[[Page 51048]]

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 Sec.  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.


Sec.  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-to-nara.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.


Sec.  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

[[Page 51049]]

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


Sec.  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.


Sec.  1236.2  What definitions apply to this part?

    (a) See Sec.  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.


Sec.  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.


Sec.  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


Sec.  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 Sec.  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.


Sec.  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 Sec.  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 Sec.  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.


Sec.  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:

[[Page 51050]]

    (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


Sec.  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 Sec.  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 NARA-approved 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.


Sec.  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 
short-term NARA-approved retention periods (transitory records with a 
very short-term 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 
NARA-approved retention period, and
    (2) The system's automatic deletion rules ensure preservation of 
the records until the expiration of the NARA-approved 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 Sec.  
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.


Sec.  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 Sec.  1236.10, 
except that transitory e-mail may be managed in accordance with Sec.  
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.

[[Page 51051]]

Sec.  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.


Sec.  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[deg] to 68[deg] 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 
cellulose-acetate base film?

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


Sec.  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.


Sec.  1237.2  What are the authorities for part 1237?

    The authorities for this part are 44 U.S.C. 2904 and 3101.


Sec.  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,

[[Page 51052]]

First Edition, December 15, 2000, IBR approved for Sec.  1237.26.
    (2) ISO 18911: 2000 (``ISO 18911''), Imaging materials--Processed 
safety photographic films--Storage practices, First Edition, November 
1, 2000, IBR approved for Sec.  1238.20, IBR approved for Sec. Sec.  
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 Sec.  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 Sec.  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 Sec.  
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 Sec.  1237.16.
    (2) ISO 18923: 2000 (``ISO 18923''), Imaging Materials--Polyester-
Base Magnetic Tape--Storage Practices, First Edition, June 1, 2000, IBR 
approved for Sec.  1237.18.
    (3) ISO 18925: 2002 (``ISO 18925''), Imaging Materials--Optical 
Disc Media--Storage Practices, First Edition, June 1, 2002, IBR 
approved for Sec.  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 <a href="/cdn-cgi/l/email-protection#01606d6862416f6073602f666e77"><span class="__cf_email__" data-cfemail="e2838e8b81a28c839083cc858d94">[email protected]</span></a>.
    (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 
Sec.  1237.28.
    (2) ANSI/NAPM IT9.11-1993 (``ANSI/NAPM IT9.11-1993''), Imaging 
Media--Processed Safety Photographic Films--Storage, 1993, IBR approved 
for Sec.  1237.16.


Sec.  1237.4  What definitions apply to this part?

    (a) See Sec.  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.


Sec.  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 Sec.  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.


Sec.  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 Sec.  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)

[[Page 51053]]

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 Sec.  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 
33\1/3\ 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.


Sec.  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 Sec.  
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.


Sec.  1237.16  How do agencies store audiovisual records?

    Agencies must maintain appropriate storage conditions for 
permanent, long-term temporary or unscheduled audiovisual records:
    (a) Ensure that audiovisual records storage facilities comply with 
36 CFR part 1234.
    (b) For the storage of permanent, long-term temporary, or 
unscheduled records, use audiovisual storage containers or enclosures 
made of non-corroding metal, inert plastics, paper products and other 
safe materials recommended in ISO 18902 and ISO 18911 (both 
incorporated by reference, see Sec.  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 Sec.  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 Sec.  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.


Sec.  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 Sec.  1237.3). See also ISO 18920 
(incorporated by reference, see Sec.  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 Sec.  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 Sec.  
1237.3).


Sec.  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

[[Page 51054]]

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 Sec.  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.


Sec.  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.


Sec.  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.


Sec.  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, long-term temporary, or 
unscheduled records, use polyester base media and process in accordance 
with industry standards as specified in ISO 18906 (incorporated by 
reference, see Sec.  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 Sec.  1235.48(e) of this subchapter. 
For temporary digital photographs, agencies select formats that they 
deem most suitable for fulfillment of business needs.


Sec.  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 long-term 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 Sec.  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 Sec.  1237.3). (See also ISO 2859-1 (incorporated by 
reference, see Sec.  1237.3).)

[[Page 51055]]

    (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.


Sec.  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 Sec.  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 cellulose-acetate 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


Sec.  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.


Sec.  1238.2  What are the authorities for part 1238?

    The statutory authorities for this part are 44 U.S.C. chapters 29 
and 33.


Sec.  1238.3  What definitions apply to this part?

    See Sec.  1220.18 of this subchapter for definitions of terms used 
in part 1238.


Sec.  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).


Sec.  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.

[[Page 51056]]

    (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 Computer-Output Microforms--Operational 
Practices for Inspection and Quality Control, August 8, 1996, IBR 
approved for Sec.  1238.14.
    (2) ANSI/AIIM MS5-R1998) (``ANSI/AIIM MS5''), Standard for 
Information and Image Management--Microfiche, December, 1998, IBR 
approved for Sec.  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 Sec.  1238.10.
    (4) ANSI/AIIM MS19-1993 (``ANSI/AIIM MS19''), Standard Recommended 
Practice--Identification of Microforms, August 18, 1993, IBR approved 
for Sec.  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 Sec.  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 Sec.  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 Sec.  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 Sec.  1238.22.
    (9) ISO 18911:2000 (``ISO 18911''), Imaging materials--Processed 
safety photographic films--Storage practices, First Edition, November 
1, 2000, IBR approved for Sec.  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 
silver-gelatin type black-and-white films--Specifications for 
stability, February 15, 2002, IBR approved for Sec. Sec.  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 Sec.  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 Sec. Sec.  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 Sec. Sec.  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 Sec.  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 Sec.  1238.14.

Subpart B--Microfilming Standards


Sec.  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 Sec.  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 Sec.  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 Sec.  1238.5), Table 1 
must be used, and the aperture card format ``D Aperture'' shown in 
ANSI/AIIM MS41 (incorporated by reference, see Sec.  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 Sec.  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 Sec.  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 Sec.  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 
Sec.  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 Sec.  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.

[[Page 51057]]

Sec.  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 sub-organization, 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 Sec.  1238.5) for 
standards for identification targets.


Sec.  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 Sec.  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 
Sec.  1238.5) and use the processing procedures in ANSI/AIIM MS1 and 
ANSI/AIIM MS23 (both incorporated by reference, see Sec.  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 Sec.  1238.5). Agencies must 
perform resolution tests using an ANSI/ISO 3334 Resolution Test Chart 
(incorporated by reference, see Sec.  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 Sec.  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 Sec.  1238.5). The densitometer must 
meet with ANSI/NAPM IT2.18 (incorporated by reference, see Sec.  
1238.5) for spectral conditions and ANSI/NAPM IT2.19 (incorporated by 
reference, see Sec.  1238.5) for geometric conditions for transmission 
density.
    (i) Recommended visual diffuse transmission background densities 
for images of documents are as follows:

------------------------------------------------------------------------
                                                            Background
         Classification          Description of document      density
------------------------------------------------------------------------
Group 1........................  High-quality, high              1.3-1.5
                                  contrast printed book,
                                  periodicals, and black
                                  typing.
Group 2........................  Fine-line originals,           1.15-1.4
                                  black opaque pencil
                                  writing, and documents
                                  with small high
                                  contrast printing.
Group 3........................  Pencil and ink                  1.0-1.2
                                  drawings, faded
                                  printing, and very
                                  small printing, such
                                  as footnotes at the
                                  bottom of a printed
                                  page.
Group 4........................  Low-contrast                    0.8-1.0
                                  manuscripts and
                                  drawing, graph paper
                                  with pale, fine-
                                  colored lines; letters
                                  typed with a worn
                                  ribbon; and poorly
                                  printed, faint
                                  documents.
Group 5........................  Poor-contrast documents        0.7-0.85
                                  (special exception)..
------------------------------------------------------------------------

    (ii) Recommended visual diffuse transmission densities for computer 
generated images are as follows:

----------------------------------------------------------------------------------------------------------------
                                                                                                       Minimum
            Film type                   Process              Density        Min. Dmax    Max. Dmin     density
                                                       measurement method      \1\          \1\       difference
----------------------------------------------------------------------------------------------------------------
Silver gelatin..................  Conventional.......  Printing or                0.75         0.15         0.60
                                                        diffuse.
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

[[Page 51058]]

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.


Sec.  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 Sec.  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 Sec.  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


Sec.  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 Sec.  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 Sec.  1238.5).


Sec.  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 Sec.  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 Sec.  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 Sec.  1238.20(a).
    (e) The agency must prepare an inspection report, and send a copy 
to NARA in accordance with Sec.  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 Sec.  1238.14 to replace the deteriorating master. The duplicate 
microform must meet inspection requirements (see Sec.  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 
Sec.  1238.5).


Sec.  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 Sec.  1238.22(a).


Sec.  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 Sec.  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.


Sec.  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 
non-silver 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 Sec.  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;

[[Page 51059]]

    (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 
Sec.  1238.22(e).
    (d) Agencies may transfer permanent microform records to a records 
storage facility meeting the storage requirements in Sec.  1232.14(a) 
(see Sec.  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.


Sec.  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 Sec.  1232.14(c) of this subchapter.
    (c) Transfer the silver gelatin original (or duplicate silver 
gelatin microform created in accordance with Sec.  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 
non-silver copies.


Sec.  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 Sec.  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 Sec.  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 Sec.  1238.20 and inspected as 
required by Sec.  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


Sec.  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.


Sec.  1239.2  What are the authorities for part 1239?

    The authorities for this part are 44 U.S.C. 2904 and 2906.


Sec.  1239.3  What definitions apply to this part?

    (a) See Sec.  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.


Sec.  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


Sec.  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/.


Sec.  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

[[Page 51060]]

(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


Sec.  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 Sec.  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.


Sec.  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.


Sec.  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.


Sec.  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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