[Federal Register Volume 61, Number 86 (Thursday, May 2, 1996)]
[Rules and Regulations]
[Pages 19552-19555]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-10888]



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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

36 CFR Part 1228

RIN 3095-AA65


Disposition of Federal Records

AGENCY: National Archives and Records Administration (NARA).
ACTION: Final rule.

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[[Page 19553]]

SUMMARY: NARA is amending its regulations to require reimbursement for 
certain records maintained in Federal records centers that have 
exceeded the authorized disposal date. NARA has clarified in this final 
rule that the requirement will not apply to records whose disposition 
is stayed pending NARA action on a previously submitted record 
schedule. NARA is taking this action because the Federal records 
centers have a serious shortage of storage space and can no longer 
absorb the cost of storing records beyond their scheduled disposal 
date. NARA is also updating the addresses of the Federal records 
centers.
EFFECTIVE DATE: The final rule is effective June 3, 1996.
FOR FURTHER INFORMATION CONTACT: Debra Leahy at 301-713-7210.
SUPPLEMENTARY INFORMATION: On September 26, 1995, NARA published a 
notice of proposed rulemaking at 60 FR 49532. The 60-day comment period 
ended on November 27, 1995, but NARA considered all written comments 
received by December 4, 1995, in developing this final rule. Eight 
comments, all from Federal agencies, were received. The following major 
points were raised:
    Agencies should not be required to pay for extended storage when 
the hold on disposal is not under the control of the agency. Five 
agencies stated that, in most cases, extended retention requirements 
are levied by another office of the Federal Government in anticipation 
of litigation, to meet a court order, or to resolve an issue with the 
Government Accounting Office. One agency suggested that any storage 
fees should be imposed on the organization that requested the hold on 
disposal.
    It is not NARA's intent to impose a burden on agencies. NARA 
believes that the reimbursement plan is a reasonable solution that will 
benefit both the agencies and the Federal records centers. In the past, 
NARA has absorbed the cost of storing temporary records that have 
exceeded their authorized disposition date. However, because of the 
continued growth of records in this category, NARA can no longer pay 
for the space needed to store such records. Without reimbursement, NARA 
will be forced, in the near future, to return the records to the 
agencies for further retention.
    Like the agencies, NARA has no means of projecting when a court-
ordered or GAO disposal suspension will occur or how many records will 
be affected. In some cases, entire record groups have been placed under 
disposal suspension. Legal custody of temporary records remains with 
the agency even though the records are stored in a Federal records 
center. Therefore, NARA must request reimbursement from the legal 
custodian of the records rather than from the imposer of the disposal 
suspension. NARA recommends that agencies work with their attorneys and 
records officials, the Department of Justice attorneys and GAO 
officials when applicable, to narrow the scope of records required for 
litigations and audits.
    Three agencies pointed out circumstances where NARA has rescinded 
disposal authority pending re-appraisal of potentially permanent 
records; where an SF 115, Request for Disposition Authority, had been 
submitted to NARA to approve a change in the scheduled disposition; 
where unscheduled records accepted for accessioning into a Federal 
Records Center (FRC) required screening to separate permanent from 
disposable records; and where an agency must work with NARA to 
reconcile conflicting mandated retention periods for contractor-
generated records. NARA has never intended to require reimbursement for 
continued storage of records where the disposition of the records is 
contingent on NARA action. We have clarified Sec. 1228.54(g) on this 
point.
    We have also modified Sec. 1228.54 (g) to provide that NARA will 
waive fees for extended storage when the administrative cost to NARA 
for the agreement and billing would exceed the fees expected to be 
received. For the remainder of FY 1996, the threshold for waiving fees 
will be $100 based on the agency's total records center holdings 
subject to the fee. NARA will bill the headquarters office rather than 
individual offices or units.
    One agency noted that occasionally, when NARA sends a destruction 
notice, an agency will discover that records were retired to the FRC 
under the wrong disposal authority and that the correct retention 
period is longer. There will be no charge for the extended storage 
period for correction of this error.
    Removal of records from FRC space. If agencies do not wish to 
reimburse NARA for continued storage of records for the extended 
retention period, the proposed rule would require agencies to remove 
the records within 60 days. One agency recommended that Sec. 1228.54(g) 
be amended to require removal within 90 days from the date of 
notification to ensure that agencies had sufficient time to effect the 
arrangements for removal. NARA has adopted this comment.
    Another agency commented that it would be more costly for agencies 
to store returned records in their office space and that NARA 
discourages agency records centers in another section of Part 1228 by 
requiring agencies to obtain NARA approval to establish agency records 
centers. NARA recognizes the agency's argument that FRC storage space 
is generally more economical than storage in agency office space. The 
purpose of the cited regulatory requirement is to ensure that agencies 
comply with the records storage standards NARA imposes on itself to 
protect the records and that the agency centers are as cost-effective 
as FRC's. This regulatory provision is based on 44 U.S.C. which 
requires NARA approval of agency-operated records centers.
    Billing procedures. Two agencies asked for clarification of billing 
procedures.
    The billing procedure will be specified in the reimbursable 
agreement that the agency and NARA will sign. NARA anticipates billing 
agencies quarterly, based on the volume of retained holdings in the FRC 
system on the last day of the quarter. Data for fourth quarter billing 
will be cut off on August 31 of each year. Agencies may negotiate 
alternate arrangements with the Office of Federal Records Centers that 
will better serve the agency and NARA.
    Effective date. Five agencies stated that the proposed January 1, 
1996, effective date did not give agencies adequate lead time to budget 
for the unplanned expenditure. Three of these agencies recommended a 
delay in the effective date until FY 1997. Since agencies have already 
submitted their FY 1997 budgets to OMB, NARA does not believe that a 
delay to October 1, 1996, will materially affect the agencies' ability 
to budget payments for extended storage fees. Moreover, as explained 
previously, NARA cannot continue to absorb the cost we incur for the 
extended storage of otherwise disposable records in FRC space. To 
provide agencies time to enter into a reimbursable agreement with NARA 
or to plan for the removal of affected records, we have revised the 
effective date to June 3, 1996, in response to these comments.
    Other comments. One agency pointed out that the list of 
administrative purposes that justify a temporary extension were stated 
differently in the proposed Secs. 1228.32(b) and 1228.54(g) and that a 
reference in Sec. 1228.54(a) to paragraph (g) in that section should be 
changed to Sec. 1228.32(b). We have made both of these changes.
    Section 1228.54(a) also refers to a procedure specified in 
Sec. 1228.164 for obtaining a temporary extension in

[[Page 19554]]

retention period for a single accession. We have clarified 
Sec. 1228.164(c) to provide that agencies may use this procedure to 
extend the retention period for an individual accession for no longer 
than 6 months. Normally agencies request an extension under 
Sec. 1228.164(c) to allow time for a review of the records, to request 
a series level retention period change from the NARA Office of Records 
Administration (NIR), or to withdraw the records from the records 
center. No charge would accrue to the agency for extended records 
storage under this provision; however the extension will not be 
renewed.
    The same agency commented that NARA needs to know about proposed 
temporary extensions of records retention periods only when the records 
are stored in an FRC and recommended that this clarification be added 
to Sec. 1228.32(b). We have not adopted this comment because it is 
incorrect. A retention period that is specified in a NARA-approved 
agency records schedule or in a General Records Schedule is mandatory 
by law; the agency may not retain temporary records beyond that date 
without NARA approval whether the records are located in agency space, 
FRC space, or other space.
    Addresses of Federal records centers. In this final rule, we are 
also updating or correcting the addresses of the Federal records 
centers listed in Sec. 1228.150, and adding the Pittsfield, MA, Federal 
records center. The introductory paragraph to this section is 
unchanged.
    This rule is a significant regulatory action under E.O. 12866 of 
September 30, 1993 and has been reviewed by OMB. As required by the 
Regulatory Flexibility Act, it is hereby certified that this rule will 
not have a significant impact on small entities.

List of Subjects in 36 CFR Part 1228

    Archives and records.

    For the reasons set forth in the preamble, 36 CFR part 1228 is 
amended as follows:

PART 1228--DISPOSITION OF FEDERAL RECORDS

    1. The authority citation for part 1228 continues to read as 
follows:

    Authority: 44 U.S.C. chs 21, 29, and 33.

    2. Section 1228.32 is revised to read as follows:


Sec. 1228.32   Request to change disposition authority.

    (a) Agencies desiring to change the approved retention period of a 
series or system of records shall submit an SF 115. Disposition 
authorities contained in approved SF 115 are automatically superseded 
by approval of a later SF 115 applicable to the same records unless the 
later SF 115 specified an effective date. Agencies submitting revised 
schedules shall indicate on the SF 115 the relevant schedule and item 
numbers to be superseded, the citation to the current printed records 
disposition schedule, if any, and/or the General Records Schedules and 
item numbers that cover the records.
    (b) Agencies proposing to change the retention period of a series 
or system of records shall submit with the SF 115 an explanation and 
justification for the change. The need to retain records longer than 
the retention period specified in the disposition instructions on an 
approved SF 115 for purposes of audit, court order, investigation, 
litigation, study, or any other administrative purpose that justifies 
the temporary extension of the retention period shall be governed by 
the procedures set forth in Sec. 1228.54. Agencies shall not submit an 
SF 115 to change the retention period in such cases.
    3. Section 1228.54 is amended by revising paragraphs (a) and (g) 
and adding paragraph (h) to read as follows:


Sec. 1228.54  Temporary extension of retention periods.

    (a) Approved agency records schedules and the General Records 
Schedules are mandatory (44 U.S.C. 3303a). Except as specified in 
Sec. 1228.32(b), records series or systems approved for destruction 
shall not be maintained longer without the prior written approval of 
the National Archives and Records Administration (NIR). However, 
extended retention of an individual shipment of records to a Federal 
Records Center for a period up to 6 months is governed by procedures in 
Sec. 1228.164(c).
* * * * *
    (g) Except when NARA agrees to continue to store and service 
records on a reimbursable basis or waives the requirements of this 
paragraph under a condition specified in paragraph (h) of this section, 
agencies shall remove from Federal records centers at the agency's 
expense records that, because of audit, court order, investigation, 
litigation, study, or any other administrative reason the agency wishes 
to retain longer than the scheduled retention period for the records. 
The removal of records must be accomplished within 90 days of the date 
of the notification from the Federal records center that the retention 
period has expired. Agencies that wish to establish an agreement or 
inquire about their records should write to NARA, Office of Federal 
Records Centers (NC), 8601 Adelphi Road, College Park, MD 20740-6001.
    (h) NARA will waive the requirements specified in paragraph (g) of 
this section when:
    (1) The temporary extension of retention period has been imposed by 
NARA, for instance when NARA plans to reappraise the archival value of 
records or when NARA is working on a new or revised General Records 
Schedule item;
    (2) The agency has submitted an SF 115, Request for Disposition 
Authority, to NARA to request a change in the scheduled disposition of 
a series of records;
    (2) NARA and the agency mutually agree that temporary extension is 
required to meet exceptional records management situations such as a 
NARA-agency screening project to separate permanent from disposable 
records or application of a new records disposition schedule to 
previously unscheduled records; or
    (3) The administrative cost to NARA to implement a reimbursable 
agreement would exceed the reimbursement received.
    4. In Sec. 1228.150, the table set forth at the end of the section 
is revised to read as follows:


Sec. 1228.150  Authority.

* * * * *

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              Area served                     Federal records center    
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District of Columbia, Maryland, West     Washington National Records    
 Virginia, and Virginia (except U.S.      Center, 4205 Suitland Rd.,    
 Court records).                          Washington, DC 20409-0002.    
Designated records of the Military       National Personnel Records     
 Departments and the U.S. Coast Guard.    Center (Military Personnel    
                                          Records), 9700 Page Ave., St. 
                                          Louis, MO 63132-5100.         

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The entire Federal Government personnel  National Personnel Records     
 records of separated Federal             Center (Civilian Personnel    
 employees; medical and pay records of    Records), 111 Winnebago St.,  
 all Federal employees; designated        St. Louis, MO 63118-4199.     
 medical records of Army and Air Force                                  
 military personnel and their                                           
 dependents; and records of agencies in                                 
 the St. Louis area (Missouri only), of                                 
 Scott AFB, IL, and of the Memphis                                      
 Service Center, Internal Revenue                                       
 Service.                                                               
National collection of long term         Federal Records Center, 100 Dan
 records.                                 Fox Dr., Pittsfield, MA 01201-
                                          8230.                         
Maine, Vermont, New Hampshire,           Federal Records Center, 380    
 Massachusetts, Connecticut, and Rhode    Trapelo Rd., Waltham, MA 02154-
 Island.                                  6399.                         
New York, New Jersey, Puerto Rico, and   Federal Records Center,        
 the Virgin Islands.                      Military Ocean Terminal, Bldg.
                                          22, Bayonne, NJ 07002-5388.   
Delaware, Pennsylvania, and U.S. court   Federal Records Center, 14700  
 records for Maryland, Virginia, and      Townsend Rd., Philadelphia, PA
 West Virginia.                           19154-1025.                   
North Carolina, South Carolina,          Federal Records Center, 1557   
 Tennessee, Mississippi, Alabama,         St. Joseph Ave., East Point,  
 Georgia, Florida, and Kentucky.          GA 30344-2593.                
Illinois, Wisconsin, Minnesota, and      Federal Records Center, 7358 S.
 U.S. court records for Indiana,          Pulaski Rd., Chicago, IL 60629-
 Michigan, and Ohio.                      5898.                         
Indiana, Michigan, and Ohio except for   Federal Records Center, 3150   
 U.S. court records.                      Springboro Drive, Dayton, OH  
                                          45439-1883.                   
Kansas, Iowa, Nebraska, and Missouri     Federal Records Center, 2312 E.
 except greater St. Louis area.           Bannister Rd., Kansas City, MO
                                          64131-3060.                   
Texas, Oklahoma, Arkansas, Louisiana,    Federal Records Center, P.O.   
 and New Mexico.                          Box 6216, Fort Worth, TX 76115-
                                          0216.                         
Colorado, Wyoming, Utah, Montana, North  Federal Records Center, Denver 
 Dakota, and South Dakota.                Federal Center Bldg. 48, P.O. 
                                          Box 25307, Denver, CO 80225-  
                                          0307.                         
Nevada except Clark County, California   Federal Records Center, 1000   
 except southern California, American     Commodore Dr., San Bruno, CA  
 Samoa.                                   94066-2350.                   
Arizona; Clark County, Nevada, and       Federal Records Center, 24000  
 southern California (counties of San     Avila Rd., P.O. Box 6719,     
 Luis Obispo, Kern, San Bernadino,        Laguna Niguel, CA 92607-6719. 
 Santa Barbara, Ventura, Orange, Los                                    
 Angeles, Riverside, Inyo, Imperial,                                    
 and San Diego).                                                        
Washington, Oregon, Idaho, Alaska,       Federal Records Center, 6125   
 Hawaii, and Pacific Ocean area (except   Sand Point Way NE., Seattle,  
 American Samoa).                         WA 98115-7999.                
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    5. Section 1228.164 is amended by revising paragraph (c) to read as 
follows:
Sec. 1228.164  Disposal clearances for records in Federal records 
centers.
* * * * *
    (c) Other records of Federal agencies held by Federal records 
centers will be destroyed with the concurrence of the agency concerned 
by use of NA Form 13001, Notice of Intent to Destroy Records, or other 
written concurrence for each disposal action. If an agency is notified 
of the eligibility of its records for disposal and the agency fails to 
respond to this notification within 90 calendar days, the records will 
be destroyed in accordance with the appropriate disposition authority. 
If an agency does not concur in the scheduled destruction of an 
accession, the agency may request extended retention of the records for 
up to an additional 6 months by submitting written justification, 
including a new disposal date, within 90 days to the records center 
director. Further extensions must be requested in accordance with 
Sec. 1228.54 of this part.

    Dated: December 27, 1995
John W. Carlin,
Archivist of the United States.
[FR Doc. 96-10888 Filed 5-1-96; 8:45 am]
BILLING CODE 7515-01-P