45274 Federal Register / Vol. 73, No. 150 / Monday, August 4, 2008 / Proposed Rules 

NATIONAL ARCHIVES AND RECORDS 

ADMINISTRATION 

36 CFR Subchapter B 

[FDMS Docket NARA–08–0004] 

RIN 3095–AB16 

Federal Records Management; 

Revision 

AGENCY: National Archives and Records 

Administration (NARA). 

ACTION: Proposed rule. 

SUMMARY: As part of its initiative to 

redesign Federal records management, 

NARA is revising and reorganizing the 

existing regulations on Federal records 

management to update records 

management strategies and techniques 

and to make the regulations easier to 

read, understand, and use. This 

proposed rule will affect Federal 

agencies. 

DATES: Submit comments on or before 

October 3, 2008. 

ADDRESSES: NARA invites interested 

persons to submit comments on this 

proposed rule. Please include ‘‘Attn: 

3095–AB16’’ and your name and 

mailing address in your comments. 

Comments may be submitted by any of 

the following methods: 

• Federal e-Rulemaking Portal: Go to 

http://www.regulations.gov. Follow the 

online instructions for submitting 

comments. 

• Fax: Submit comments by facsimile 

transmission to 301–837–0319. 

• Mail: Send comments to 

Regulations Comments Desk (NPOL), 

Room 4100, Policy and Planning Staff, 

National Archives and Records 

Administration, 8601 Adelphi Road, 

College Park, MD 20740–6001. 

• Hand Delivery or Courier: Deliver 

comments to 8601 Adelphi Road, 

College Park, MD. 

FOR FURTHER INFORMATION CONTACT: 

Laura McCarthy at telephone number 

301–837–3023 or Nancy Allard at 

telephone number 301–837–1477. They 

can also be reached at fax number 301– 

837–0319. 

SUPPLEMENTARY INFORMATION: 

Background 

Overview 

On July 31, 2003, the National 

Archives and Records Administration 

(NARA) issued our Strategic Directions 

for Federal Records Management. In that 

document we set out our goals, 

strategies, and tactics for redesigning 

Federal records management to serve 

agencies in the 21st century. This 

proposed rule reflects those strategic 

directions and the initiatives that NARA 

has undertaken in support of the 

redesigned Federal records management 

program. It does not reflect pending 

2008 legislation relating to management 

of electronic messages that was 

introduced after this proposed rule was 

developed; NARA will further revise 

proposed Part 1236 in a separate 

rulemaking should that legislation go 

into effect. 

On March 15, 2004, at 69 FR 12100, 

NARA published an Advanced Notice of 

Proposed Rulemaking (ANPRM) 

requesting comments about a proposal 

to rewrite and restructure the Federal 

records management regulations 

contained in 36 CFR Chapter XII, 

Subchapter B. In response, we received 

remarks from one member of the public, 

seven Federal records management 

professionals, one records management 

contractor working for a Federal agency, 

one retired records management 

consultant, and one records 

management consultant. 

Overall, the comments were in favor 

of our proposal. Many commented that 

it was time for an update and that the 

regulations needed to incorporate 

changes to address the evolution of 

technology. They also recommended 

that we use ISO 15489–1:2001, Records 

management—Part 1: General, as 

guidance for the entire revision, not just 

the sections pertaining to electronic 

records management. 

In rewriting and restructuring the 

regulation, we incorporated plain 

language principles with the intent of 

making the regulations easier to read, 

understand, and use. We also organized 

the regulations according to the lifecycle 

concept of records, while 

acknowledging that the lifecycle is not 

linear. As recommended in the 

comments, the organization of the CFR 

parts in this proposed rule generally 

reflects the order outlined in the 

ANPRM. Our comprehensive review of 

the Subchapter identified opportunities 

to consolidate related requirements that 

had been added over the years to 

different sections within the parts. 

The existing Subchapter B contains 

several Parts that are subdivided into 

multiple subparts, making it difficult to 

locate information quickly. The 

proposed rule instead has broken the 

material into smaller, more focused 

Parts. Each part begins with a statement 

of the statutory authorities and the ISO 

15489–1:2001 clauses that pertain to the 

provisions. 

Discussion of Proposed Rule Provisions 

Proposed Part 1220, Federal Records; 

General 

This part sets out the statutory basis 

for Federal records management 

programs; the roles of NARA, other 

oversight agencies, and every Federal 

agency in carrying out records 

management; and general records 

management program requirements, 

which are specified in greater detail in 

subsequent parts. The material in 

proposed part 1220 is drawn from 

subparts A and B of the existing 36 CFR 

part 1220, plus existing §§ 1222.10 and 

1222.20. Existing § 1220.18 is moved to 

proposed part 1239. 

In proposed § 1220.18 we have added 

definitions for the following terms: 

Disposition authority, Information 

system, and Personal files. The 

definition for Personal files is based on 

the definition of ‘‘personal papers’’ in 

the existing 36 CFR 1222.36, but has 

been updated and clarified. We deleted 

the definition for Maintenance and use 

as the term is understandable in the 

regulations without the definition. A 

number of the other definitions in 

§ 1220.18 have been edited but their 

substantive meaning has not changed. 

We have not revised the definition of 

Records (Federal records) other than to 

add a cross reference to an explanation 

of the elements of the definition. We 

caution agencies and the public that the 

statutory definition of ‘‘record’’ in 44 

U.S.C. 3301, and thus this regulatory 

definition, differs from statutory 

definitions of the same term for 

purposes of the Freedom of Information 

Act (5 U.S.C. 552), the Privacy Act ( 5 

U.S.C. 552a), and other statutes. 

The existing 36 CFR part 1220, 

subpart B has been reorganized and 

rewritten in plain language. The 

proposed provisions are organized 

around identification of agency records 

management responsibilities, general 

records management principles that 

agency records management programs 

must implement, and high-level 

statement of the actions agencies must 

take to carry out their records 

management responsibilities. Concepts 

in existing §§ 1222.10 and 1222.20 have 

been incorporated in the revised subpart 

B. 

Proposed Part 1222, Creation and 

Maintenance of Federal Records 

This part distinguishes between 

records, personal files, and nonrecord 

materials; and prescribes recordkeeping 

requirements for agencies, Federal 

employees, and Federal contractors. The 

material in proposed part 1222 is drawn 

from subparts A and C of existing 36 


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CFR part 1222. The significant changes 

to this part are: 

• In the new § 1222.18, we are 

revising the conditions under which 

nonrecord materials may be removed by 

departing employees from Government 

agency custody. Currently, the 

regulations permit nonrecord materials 

containing national security classified 

information or information restricted 

from release under the Privacy Act or 

other statutes to be removed from an 

agency if the information is 

appropriately protected. After 

consulting the Information Security 

Oversight Office, we have revised the 

provision relating to national security 

classified information to limit removal 

to instances governed by the National 

Industrial Security Program. We also 

propose to prohibit without exception 

removal of Privacy Act and other 

statutorily restricted nonrecord 

materials from Government custody. 

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. 

• In the new § 1222.32, we have 

added clarification concerning creation 

and maintenance of records when a 

contractor operates a program for an 

agency and reference to the National 

Industrial Security Program 

requirements for national security 

classified information. 

Proposed Part 1223, Management of 

Vital Records 

This part establishes the necessary 

actions that each agency must take to 

ensure proper and adequate 

documentation for continuing agency 

operations in the event of an emergency 

or disaster. The material in proposed 

part 1223 is drawn from existing 36 CFR 

part 1236. There are no significant 

changes from the existing regulations 

other than updating references to the 

authorities. 

Proposed Part 1224, Disposition of 

Federal Records; General 

This part specifies the elements of a 

records disposition program, the details 

of which are covered in proposed parts 

1225 through 1235. The requirements in 

existing 36 CFR 1228.12, Basic elements 

of disposition programs, are covered 

now in § 1220.34. 

Proposed Part 1225, Scheduling Records 

This part outlines the process for 

developing records schedules and 

obtaining records disposition 

authorities. The material in proposed 

part 1225 replaces subpart B of existing 

36 CFR part 1228. 

Proposed Part 1226, Implementing 

Schedules 

This part instructs agencies on how to 

apply disposition instructions, dispose 

of records, and train agency personnel 

in these procedures. The material in 

proposed part 1226 is drawn from 

subpart D of existing 36 CFR part 1228. 

We have removed the requirement to 

submit 20 copies of printed schedules 

and now require only that an electronic 

copy be sent via e-mail. As authorized 

by a 2004 change to 44 U.S.C. 2909, the 

proposed § 1226.20 will allow agencies 

to temporarily retain records beyond 

their approved retention period when 

special circumstances alter the normal 

administrative, legal or fiscal value of 

the records. The existing regulation 

requires agencies to obtain NARA 

approval if the records must be kept for 

more than one year beyond the date 

they are eligible for disposal. 

Proposed Part 1227, General Records 

Schedules 

This part explains General Records 

Schedules (GRS) and when the GRS 

must be used by agencies. The material 

in proposed part 1227 is drawn from 

subpart C of existing 36 CFR part 1228. 

The only significant change from the 

existing regulation is that the list of 

current GRS is no longer provided in the 

part. Instead, agencies are directed to 

NARA’s Web site to obtain copies of the 

most current schedules. 

Proposed Part 1228, Loan of Permanent 

and Unscheduled Records 

This part prescribes the procedures 

for agencies to loan permanent and 

unscheduled records to other Federal 

agencies and non-Federal entities. The 

material in proposed part 1228 is drawn 

from subpart E of existing 36 CFR part 

1228. Because the loan of permanent 

and unscheduled records increases the 

likelihood of the records becoming lost, 

misplaced, or incorporated into other 

files, we have added a requirement that 

agencies obtain prior NARA approval to 

loan original permanent or unscheduled 

records to other Federal agencies. We 

believe that there are few, if any, 

instances where agencies currently loan 

original records to another agency. 

Since agencies do not need to request 

NARA approval to provide copies of 

records to other agencies and entities, 

this provision should not place a burden 

on agencies. 

Proposed Part 1229, Emergency 

Authorization to Destroy Records 

This part outlines the steps agencies 

must take when they discover records 

that are a continuing menace to human 

health or life or to property. The 

material in proposed part 1229 is drawn 

from subpart F of existing 36 CFR part 

1228. The only significant change is to 

require agencies to notify NARA in all 

cases where records constituting a 

continuing menace to human health or 

life or to property are identified; the 

existing § 1228.92 permits agencies to 

deal with deteriorating nitrocellulose 

base film unilaterally, notifying NARA 

within 30 days after their action. 

Proposed Part 1230, Unlawful or 

Accidental Removal, Defacing, 

Alteration, or Destruction of Records 

This part sets out the penalties and 

reporting requirements when records 

are destroyed, damaged, or removed 

without authorization. The material in 

proposed part 1230 is drawn from 

existing 36 CFR part 1228, subpart G. 

The title of the part now reflects the 

wording used in 44 U.S.C. 3106. We 

have also updated the provision relating 

to criminal penalties to reflect 

amendments to 18 U.S.C. 2071. We have 

added a new § 1230.16 to address how 

NARA and agencies handle credible 

allegations of unlawful or accidental 

removal, defacing, alteration, or 

destruction of records. 

Proposed Part 1231, Transfer of Records 

from the Custody of One Executive 

Agency to Another 

This part provides procedures for the 

transfer of records between executive 

agencies. The material in proposed part 

1231 is drawn from 36 CFR part 1228, 

subpart H. The only significant change 

from the existing regulation is the 

removal of sections concerning transfer 

of equipment and the cost of transfers. 

Proposed Part 1232, Transfer of Records 

to Records Storage Facilities 

This part provides procedures for the 

transfer of records to a NARA, agencyoperated, or commercial records storage 

facility. There are no substantive 

changes from the existing subpart I of 36 

CFR part 1228. 

Proposed Part 1233, Transfer, Use, and 

Disposition of Records in a NARA 

Records Center 

This part provides procedures that 

apply to the use of NARA’s Federal 

Records Center Program. There are no 

substantive changes from the existing 

subpart J of 36 CFR part 1228. 


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Proposed Part 1234, Facility Standards 

for Records Storage Facilities [Reserved] 

At the final rule stage, we intend to 

re-designate the regulations currently in 

36 CFR part 1228, subpart K, as new 

part 1234 without change. Comments 

are not being considered on the current 

subpart K or the move to a new part 

1234. 

Proposed Part 1235, Transfer of Records 

to the National Archives of the United 

States 

The material in proposed part 1235 is 

drawn from 36 CFR part 1228, subpart 

L. The significant changes are 

elimination of descriptive information 

on the archival depositories in which 

transferred records will be stored and 

specification of timeframes for NARA 

approval or disapproval of agency 

requests to retain records beyond their 

expected transfer date. 

Proposed Part 1236, Electronic Records 

Management 

This part reflects an update and 

reorganization of policies and 

procedures relating to electronic records 

management, currently contained in 36 

CFR part 1234. This proposed part 1236 

reminds agencies that all records 

management program requirements in 

parts 1220 through 1235 apply to 

electronic records, and then focuses on 

additional requirements that apply to 

electronic records. The revision of this 

part was also informed by the responses 

NARA received to an ANPRM published 

on October 10, 2001 (66 FR 51740) 

addressing a petition for rulemaking. 

The petition had requested that the 

Archivist amend NARA rules 

concerning the management, scheduling 

and preservation of text documents 

created in electronic form. 

The proposed part 1236 contains, in 

restated language, most of the 

provisions of the existing part 1234. We 

have broadened the coverage of text 

documents to include all unstructured 

records. We have eliminated the 

existing § 1234.26, Judicial use of 

electronic records, because those 

principles are now widely accepted by 

courts. As noted previously, this 

proposed part does not reflect pending 

legislation relating to requirements that 

electronic records be captured and 

preserved in electronic recordkeeping 

systems only. 

Proposed Part 1237, Audiovisual, 

Cartographic, and Related Records 

Management 

This proposed part expands and 

updates the audiovisual records 

management provisions in the existing 

36 CFR part 1232 to address aerial 

photographic records, architectural 

engineering records, cartographic 

records, and digital photographs. As 

with the proposed CFR parts for 

electronic and micrographic records, 

this proposed part 1237 reminds 

agencies that all records management 

program requirements in parts 1220 

through 1235 apply to audiovisual, 

cartographic and related records, and 

then focuses on additional requirements 

that apply specifically to records in 

these formats and media. 

Proposed Part 1238, Microforms 

Records Management 

The material in proposed part 1238 is 

drawn from existing 36 CFR part 1230. 

The only substantive change is the 

deletion of the current § 1230.50 

concerning non-regulatory information 

on centralized micrographic services 

from NARA. 

Proposed Part 1239, Program Assistance 

and Inspections 

The material in proposed part 1239 

relating to program assistance NARA 

provides to agencies is drawn from 

existing 36 CFR part 1238; there are no 

substantive changes. The material 

relating to inspections of records 

management programs has been 

changed significantly from the current 

regulations on evaluations contained in 

subpart C of existing 36 CFR part 1220. 

As NARA announced in its 2003 

Strategic Directions for Federal Records 

Management, NARA will undertake 

inspections when an agency, or a series 

of agencies in a specific line of business, 

fails to address high-level records 

management risks or specific problems 

identified through NARA’s risk-based 

resource allocation model or other 

means such as Government reports or 

the media. The time frames for the 

inspection steps have been shortened, 

reflecting the more focused nature of 

inspections. 

Parts 1240 through 1249 are reserved. 

Regulatory Impact 

This proposed 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). The proposed rule 

incorporates changes made during the 

OMB and interagency review under E.O. 

12866. As required by the Regulatory 

Flexibility Act, I certify that this 

proposed 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. 

List of Subjects 

Archives and records. 

For the reasons set forth in the 

preamble, NARA proposes to revise 

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 

1235 Transfer or 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 and 

documentary materials must be managed 

in accordance with the regulations in 

Subchapter B? 

1220.18 What definitions apply to the 

regulations in Subchapter B? 

Subpart B—Agency Records Management 

Program Responsibilities 

1220.30 What are an agency’s records 

management responsibilities? 


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1220.32 What records management 

principles must agencies implement? 

1220.34 What must an agency do to carry 

out its records management 

responsibilities? 

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

and 33. 

§ 1220.1 What is the scope of Subchapter 

B? 

Subchapter B prescribes policies for 

Federal agencies’ records management 

programs relating to proper records 

creation and maintenance, adequate 

documentation, and records disposition. 

§ 1220.2 What are the authorities for 

Subchapter B? 

The regulations in this subchapter 

implement the provisions of 44 U.S.C. 

Chapters 21, 29, 31, and 33. 

§ 1220.3 What standards are used as 

guidelines for Subchapter B? 

These regulations are in conformance 

with ISO 15489–1:2001, Information 

and documentation—Records 

management. Other standards relating to 

specific sections of the regulations are 

cited where appropriate. 

§ 1220.10 Who is responsible for records 

management? 

(a) The National Archives and 

Records Administration (NARA) is 

responsible for overseeing agencies’

adequacy of documentation and records 

disposition programs and practices, and 

the General Services Administration 

(GSA) is responsible for overseeing 

economy and efficiency in records 

management. The Archivist of the 

United States and the Administrator of 

GSA issue regulations and provide 

guidance and assistance to Federal 

agencies on records management 

programs. NARA regulations are in this 

subchapter. GSA regulations are in 41 

CFR part 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. 

§ 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 may be destroyed and which 

records must be preserved and 

transferred to the National Archives of 

the United States. The Archivist’s 

determination constitutes mandatory 

authority for the final disposition of all 

Federal records. 

(d) The Archivist of the United States 

issues General Records Schedules (GRS) 

authorizing disposition, after specified 

periods of time, of records common to 

several or all Federal agencies. 

§ 1220.14 Who must follow the regulations 

in Subchapter B? 

The regulations in Subchapter B 

apply to Federal agencies as defined in 

§ 1220.18. 

§ 1220.16 What recorded information and 

documentary materials must be managed in 

accordance with the regulations in 

Subchapter B? 

The requirements in Subchapter B 

apply to recorded information and 

documentary materials that meet the 

definition of Federal records. See also 

part 1222. 

§ 1220.18 What definitions apply to the 

regulations in Subchapter B? 

As used in subchapter B—

Agency (see Executive agency and 

Federal agency). 

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. 

Appraisal is the process by which the 

National Archives and Records 

Administration (NARA) determines the 

value and thus 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 Standard Forms 115, 

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 are a 

collective term that refers to recorded 

information, regardless of the medium 

or the method or circumstances of 

recording. 

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 branch 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 is used to denote papers, 

photographs, maps, electronic 

information, or other recorded 


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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 a discrete 

set of information resources organized 

for the collection, processing, 

maintenance, transmission, and 

dissemination of information, in 

accordance with defined procedures, 

whether automated or manual. (OMB 

Circular A–130.) 

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 

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 SFs 

115, Request for Records Disposition 

Authority, approved by NARA on or 

after May 14, 1973. The term also 

includes all records accessioned by 

NARA into the National Archives of the 

United States. 

Personal files (also called personal 

papers) are documentary materials, or 

any reasonably segregable portion 

thereof, regardless of physical form or 

format, of a private or nonpublic 

character that do not relate to and do 

not have an affect upon the conduct of 

agency business. Personal files are 

excluded from the definition of Federal 

records and are not owned by the 

Government. 

Recordkeeping requirements means 

all statements in statutes, regulations, 

and agency directives or other 

authoritative issuances, that provide 

general or specific requirements for 

Federal agency personnel on particular 

records to be created and maintained by 

the agency. 

Recordkeeping system is a manual or 

electronic system that captures, 

organizes, and categorizes records to 

facilitate their preservation, retrieval, 

use, and disposition. 

Records or Federal records is defined 

in 44 U.S.C. 3301 as including all books, 

papers, maps, photographs, machine 

readable materials, or other 

documentary materials, regardless of 

physical form or characteristics, made 

or received by an agency of the United 

States Government under Federal law or 

in connection with the transaction of 

public business and preserved or 

appropriate for preservation by that 

agency or its legitimate successor as 

evidence of the organization, functions, 

policies, decisions, procedures, 

operations or other activities of the 

Government or because of the 

informational value of the data in them 

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

this part for an explanation of this 

definition). 

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

2901(6) as an establishment maintained 

and operated by the Archivist (NARA 

Federal Records Center) or by another 

Federal agency primarily for the storage, 

servicing, security, and processing of 

records which need to be preserved for 

varying periods of time and need not be 

retained in office equipment or space. 

See also records storage facility. 

Records management, as used in 

subchapter B, means the planning, 

controlling, directing, organizing, 

training, promoting, and other 

managerial activities involved with 

respect to records creation, records 

maintenance and use, and records 

disposition in order to achieve adequate 

and proper documentation of the 

policies and transactions of the Federal 

Government and effective and 

economical management of agency 

operations. 

Records schedule or schedule means: 

(a) A Standard Form 115, Request for 

Records Disposition Authority that has 

been approved by NARA to authorize 

the disposition of Federal records; 

(b) A General Records Schedule (GRS) 

issued by NARA; or 

(c) A published agency manual or 

directive containing the records 

descriptions and disposition 

instructions approved by NARA on one 

or more SFs 115 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 are to 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: 

(a) Records designated as disposable 

in an agency records disposition 

schedule approved by NARA (Standard 

Form 115, Request for Records 

Disposition Authority); or 

(b) 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 Standard 

Form 115, Request for Records 

Disposition Authority. Such records 

must be treated as permanent until a 

final disposition is approved. 

Subpart B—Agency Records 

Management Responsibilities 

§ 1220.30 What are an agency’s records 

management responsibilities? 

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

each Federal agency must make and 

preserve records containing adequate 

and proper documentation of the 

organization, functions, policies, 

decisions, procedures, and essential 

transactions of the agency. These 

records must be designed to furnish the 

information necessary to protect the 

legal and financial rights of the 

Government and of persons directly 

affected by the agency’s activities. 

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

each Federal agency must establish and 

maintain an active, continuing program 

for the economical and efficient 

management of the records of the 

agency. 

(c) Agency records management 

programs must provide for: 

(1) Effective controls over the 

creation, maintenance, and use of 

records in the conduct of current 

business; and 


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(2) Cooperation with the Archivist 

and the Administrator of GSA in 

applying standards, procedures, and 

techniques designed to improve the 

management of records, promote the 

maintenance and security of records 

deemed appropriate for preservation, 

and facilitate the segregation and 

destruction of records of temporary 

value. 

§ 1220.32 What records management 

principles must agencies implement? 

Agencies must create and maintain 

authentic, reliable, and useable 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, and 

the form or format of each record is 

specified; 

(b) Records are organized and 

maintained to facilitate their use and 

usefulness throughout their authorized 

retention periods; 

(c) Records are available when 

needed, where needed, and in a useable 

format to conduct agency business; 

(d) Legal and regulatory requirements, 

relevant standards, and agency policies 

are followed; 

(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 Subchapter B). 

§ 1220.34 What must an agency do to 

carry out its records management 

responsibilities? 

To carry out the responsibilities 

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

agencies must: 

(a) Assign records management 

responsibility to a person and office 

with appropriate authority within the 

agency to coordinate and oversee 

implementation of the agency 

comprehensive records management 

program principles in § 1220.32; 

(b) Advise NARA and agency 

managers of the name(s) of the 

individual(s) assigned operational 

responsibility for the agency records 

management program. To notify NARA, 

send the name, e-mail and postal 

addresses, telephone and fax numbers of 

the individual to NARA (NWM), 8601 

Adelphi Road, College Park, MD 20740–

6001 or to 

RM.Communications@nara.gov. The 

name, title, and telephone number of 

the official or officials authorized by the 

head of the agency to sign records 

disposition schedules and requests for 

transfer of records to the custody of the 

National Archives must also be 

submitted to NARA (NWM) or 

RM.Communications@nara.gov; 

(c) Issue a directive(s) establishing 

program objectives, responsibilities, and 

authorities for the creation, 

maintenance, and disposition of agency 

records. Copies of the directive(s) 

(including subsequent amendments or 

supplements) must be disseminated 

throughout the agency, as appropriate, 

and a copy must be sent to NARA 

(NWM); 

(d) Assign records management 

responsibilities in each program 

(mission) and administrative area to 

ensure incorporation of recordkeeping 

requirements and records maintenance, 

storage, and disposition practices into 

agency programs, processes, systems, 

and procedures; 

(e) Integrate records management and 

archival requirements into the design, 

development, and implementation of 

electronic information systems as 

specified in § 1236.12; 

(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; 

(h) Comply with applicable policies, 

procedures, and standards relating to 

records management and recordkeeping 

requirements issued by the Office of 

Management and Budget, NARA, GSA, 

or other agencies, as appropriate (see 

§ 1222.22); 

(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 compliance with NARA regulations 

in this subchapter. 

PART 1222—CREATION AND 

MAINTENANCE OF FEDERAL 

RECORDS 

Subpart A—Identifying Federal Records 

Sec. 

1222.1 What are the authorities for Part 

1222? 

1222.2 What definitions apply to this part? 

1222.3 What standards are used as guidance 

for this part? 

1222.10 How should agencies apply the 

statutory definition of Federal records? 

1222.12 What types of documentary 

materials are Federal records? 

1222.14 What are nonrecord materials? 

1222.16 How are nonrecord materials 

managed? 

1222.18 Under what conditions may 

nonrecord materials be removed from 

Government agencies? 

1222.20 How are personal files defined and 

managed? 

Subpart B—Agency Recordkeeping 

Requirements 

1222.22 What records are required to 

provide for adequate documentation of 

agency business? 

1222.24 How do agencies establish 

recordkeeping requirements? 

1222.26 What are the general recordkeeping 

requirements for agency programs? 

1222.28 What are the series level 

recordkeeping requirements? 

1222.30 When must agencies comply with 

the recordkeeping requirements of other 

agencies? 

1222.32 How do agencies manage data and 

records created or received by 

contractors? 

1222.34 How must agencies maintain 

records? 

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

3301. 

Subpart A—Identifying Federal 

Records 

§ 1222.1 What are the authorities for Part 

1222? 

The statutory authorities for this part 

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

3301. 

§ 1222.2 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used in part 1222. 

§ 1222.3 What standards are used as 

guidance for this part? 

These regulations conform to 

guidance provided in ISO 15489–

1:2001. Paragraphs 7.1 (Principles of 

records management programmes), 7.2 

(Characteristics of a record), 8.3.5 

(Conversion and migration), 8.3.6 

(Access, retrieval and use), and 9.6 

(Storage and handling) apply to records 

creation and maintenance. 

§ 1222.10 How should agencies apply the 

statutory definition of Federal records? 

(a) The statutory definition of Federal 

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

and provided in § 1220.18 of this 

chapter. 

(b) Several key terms, phrases, and 

concepts in the statutory definition of a 

Federal record are further explained as 

follows: 

(1) Documentary materials is a 

collective term for records, nonrecord 


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materials, and personal papers that 

refers to all media containing recorded 

information, regardless of the nature of 

the media or the method(s) or 

circumstance(s) of recording. 

(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 

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 by 

the agency. This term covers materials 

not only actually filed or otherwise 

systematically maintained but also those 

temporarily removed from existing 

filing systems. 

(6) Appropriate for preservation 

means documentary materials made or 

received which, in the judgment of the 

agency, should be filed, stored, or 

otherwise systematically maintained by 

an agency because of the evidence of 

agency activities or information they 

contain, even if the materials are not 

covered by its current filing or 

maintenance procedures. 

§ 1222.12 What types of documentary 

materials are Federal records? 

(a) General. To ensure that complete 

and accurate records are made and 

retained in the Federal Government, 

agencies must distinguish between 

records and nonrecord materials by 

applying the definition of records (see 

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

1222.10) to agency documentary 

materials in all formats and media. 

(b) Record status. Documentary 

materials are records when they meet 

the conditions specified in § 1222.10(b). 

(c) Working files and similar 

materials. Working files, such as 

preliminary drafts and rough notes, and 

other similar materials, are records that 

must be maintained to ensure adequate 

and proper documentation if: 

(1) They were circulated or made 

available to employees, other than the 

creator, for official purposes such as 

approval, comment, action, 

recommendation, follow-up, or to 

communicate with agency staff about 

agency business; or 

(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 

solely upon whether it contains unique 

information. Multiple copies of the 

same document and documents 

containing duplicative information may 

each have record status depending on 

their relationship to other records 

(context) and how they are used in 

conducting agency business. 

§ 1222.14 What are nonrecord materials? 

Nonrecord materials are U.S. 

Government-owned documentary 

materials that do not meet the 

conditions of records status (see 

§ 1222.12(b)) or that are specifically 

excluded from the statutory definition 

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

agency’s records management program 

also needs to include managing 

nonrecord materials because their 

volume may exceed that of records. 

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) including: 

(1) Information copies of 

correspondence, directives, forms, and 

other documents on which no action is 

recorded or taken. 

(2) Tickler, follow up, or suspense 

copies of correspondence, provided they 

are not the original documents. 

(3) Duplicate copies of documents 

filed together in the same file. 

(4) Extra copies of printed or 

processed materials for which complete 

record sets exist, such as current and 

superseded manuals maintained outside 

the office responsible for maintaining 

the record set. 

(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, 

as evidence of agency activities and for 

the information they contain, including 

annual reports, brochures, pamphlets, 

books, handbooks, posters and maps.) 

§ 1222.16 How are nonrecord materials 

managed? 

(a) Agencies must develop 

recordkeeping requirements to 

distinguish records from nonrecord 

materials. 

(b) The following guidelines should 

be used in managing nonrecord 

materials: 

(1) If a clear determination cannot be 

made, the materials should be treated as 

records. Agencies may consult with 

NARA for guidance. 

(2) Nonrecord materials must be 

physically segregated from records or, 

for electronic non-record materials 

maintained in an electronic repository, 

readily identified and segregable from 

records; 

(3) Nonrecord materials should be 

purged when no longer needed for 

reference. NARA’s approval is not 

required to destroy such materials. 

§ 1222.18 Under what conditions may 

nonrecord materials be removed from 

Government agencies? 

(a) Nonrecord materials, including 

extra copies of unclassified or formally 

declassified agency records kept only 

for convenience of reference, may be 

removed by departing employees from 

Government agency custody only with 

the approval of the head of the agency 

or the individual(s) authorized to act for 

the agency on records issues. 

(b) National security classified 

information may not be removed from 

Government custody, except for a 

removal of custody taken in accordance 

with the requirements of the National 

Industrial Security Program established 

under Executive Order 12829, as 

amended, or a successor Order. 

(c) Information that is restricted from 

release under the Privacy Act or other 


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statutes may not be removed from 

Government custody. 

(d) This section does not apply to use 

of records and nonrecord materials in 

the course of conducting official agency 

business, including telework and 

authorized dissemination of 

information. 

§ 1222.20 How are personal files defined 

and managed? 

(a) Personal files are defined in 

§ 1220.18. The NARA publications 

Documenting Your Public Service 

http://www.archives.gov/records-mgmt/ 

publications/documenting-your-publicservice.html and Disposition of Federal 

Records http://www.archives.gov/ 

records-mgmt/publications/dispositionof-federal-records/index.html further 

explain what types of materials are 

personal files. This section does not 

apply to agencies and positions that are 

covered by the Presidential Records Act 

(see 36 CFR part 1270). 

(b) Personal files must be clearly 

designated as such and must be 

maintained separately from the office’s 

official records. 

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

must not be mixed in outgoing agency 

documents, such as correspondence and 

messages. 

(2) If information about private 

matters and agency business appears in 

a received document, the document is a 

Federal record. Agencies may make a 

copy of the document with the personal 

information deleted or redacted, and 

treat the copy as the Federal record. 

(3) Materials labeled ‘‘personal,’’

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

designated, and used in the transaction 

of public business, are Federal records. 

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

does not affect the status of 

documentary materials in a Federal 

agency. 

Subpart B—Agency Recordkeeping 

Requirements 

§ 1222.22 What records are required to 

provide for adequate documentation of 

agency business? 

To meet their obligation for adequate 

and proper documentation agencies 

must prescribe the creation and 

maintenance of records that: 

(a) Document the persons, places, 

things, or matters dealt with by the 

agency. 

(b) Facilitate action by agency officials 

and their successors in office. 

(c) Make possible a proper scrutiny by 

the Congress or other duly authorized 

agencies of the Government. 

(d) Protect the financial, legal, and 

other rights of the Government and of 

persons directly affected by the 

Government’s actions. 

(e) Document the formulation and 

execution of basic policies and 

decisions and the taking of necessary 

actions, including all substantive 

decisions and commitments reached 

orally (person-to-person, by 

telecommunications, or in conference) 

or electronically. 

(f) Document important board, 

committee, or staff meetings. 

§ 1222.24 How do agencies establish 

recordkeeping requirements? 

(a) Agencies must ensure that 

procedures, directives and other 

issuances; systems planning and 

development documentation; and other 

relevant records include recordkeeping 

requirements for records in all media, 

including those records created or 

received on electronic mail systems. 

Recordkeeping requirements must: 

(1) Identify and prescribe specific 

categories of records to be 

systematically created or received and 

maintained by agency personnel in the 

course of their official duties; 

(2) Specify the use of materials and 

recording techniques that ensure the 

preservation of records as long as they 

are needed by the Government; 

(3) Prescribe the manner in which 

these materials must be maintained 

wherever held; 

(4) Propose how long records must be 

maintained for agency business per the 

scheduling process in Part 1225; 

(5) Distinguish records from 

nonrecord materials and comply with 

the provisions in Subchapter B 

concerning records scheduling and 

disposition; 

(6) Include procedures to ensure that 

departing officials and employees do 

not remove Federal records from agency 

custody and remove nonrecord 

materials only in accordance with 

§ 1222.18; 

(7) Define the special recordkeeping 

responsibilities of program managers, 

information technology staff, systems 

administrators, and the general 

recordkeeping responsibilities of all 

agency employees. 

(b) Agencies must provide the training 

described in § 1220.34(f) and inform all 

employees that they are responsible and 

accountable for keeping accurate and 

complete records of their activities. 

§ 1222.26 What are the general 

recordkeeping requirements for agency 

programs? 

To ensure the adequate and proper 

documentation of agency programs, 

each program must develop 

recordkeeping requirements that 

identify: 

(a) The record series and systems that 

must be created and maintained to 

document program policies, procedures, 

functions, activities, and transactions; 

(b) The office responsible for 

maintaining the record copies of those 

series and systems, and applicable 

system administrator responsible for 

ensuring authenticity, protection, and 

ready retrieval of electronic records; 

(c) Related records series and systems; 

(d) The relationship between paper 

and electronic files in the same series; 

and 

(e) Policies, procedures, and strategies 

for ensuring that records are retained 

long enough to meet programmatic, 

administrative, fiscal, legal, and 

historical needs as authorized in a 

NARA-approved disposition schedule. 

§ 1222.28 What are the series level 

recordkeeping requirements? 

To ensure that record series and 

systems adequately document agency 

policies, transactions, and activities, 

each program must develop 

recordkeeping requirements for records 

series and systems that include: 

(a) Identification of information and 

documentation that must be included in 

the series and/or system; 

(b) Arrangement of each series and the 

records within the series and/or system; 

(c) Identification of the location of the 

records and the staff responsible for 

maintaining the records; 

(d) Policies and procedures for 

maintaining the documentation of 

telephone calls, meetings, instant 

messages, and electronic mail exchanges 

that include substantive information 

about agency policies and activities; 

(e) Policies and procedures for 

identifying working files and for 

determining the record status of 

working files in paper and electronic 

form; and 

(f) Policies and procedures for 

maintaining series consisting of 

different media. 

§ 1222.30 When must agencies comply 

with the recordkeeping requirements of 

other agencies? 

Agencies must comply with 

recordkeeping requirements that are 

imposed government-wide by another 

agency with jurisdiction over the 

program or activity being conducted, 

e.g., requirements for records 

concerning hazardous waste. Affected 

agencies must include these 

requirements in appropriate directives 

or other official issuances prescribing 

the agency’s organization, functions, or 

activities. 


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§ 1222.32 How do agencies manage 

records created or received by contractors? 

(a) Agency officials responsible for 

administering contracts must safeguard 

records created, processed, or in the 

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

steps: 

(1) Agencies must ensure that 

contractors performing Federal 

government agency functions create and 

maintain records that document these 

activities. Agencies must specify in the 

contract government ownership and the 

delivery to the Government of all 

records necessary for the adequate and 

proper documentation of contractoroperated agency activities and programs 

in accordance with requirements of the 

Federal Acquisition Regulation (FAR) 

and, where applicable, the Defense 

Federal Acquisition Regulation 

Supplement (DFARS). 

(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 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. 

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

must be included in contracts whenever 

necessary to ensure adequate and proper 

documentation or because the data have 

reuse value to the Government. 

(b) All data created for Government 

use and delivered to, or falling under 

the legal control of, the Government are 

Federal records subject to the provisions 

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

the Freedom of Information Act (5 

U.S.C. 552), and the Privacy Act (5 

U.S.C. 552a), 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), in accordance 

with 32 CFR part 2004. 

§ 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, 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; 

(g) Maintain personal files separately 

from records in accordance with 

§ 1222.20; and 

(h) Comply with 36 CFR parts 1232 

and 1234 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 

guidelines for Part 1223? 

1223.10 What is the purpose of Part 1223? 

1223.12 What are the objectives of a vital 

records program? 

1223.14 What elements must a vital records 

program include? 

1223.16 How are vital records identified? 

1223.18 Must vital records be in a 

particular form or format? 

1223.20 What are the requirements for 

accessing vital records during an 

emergency? 

1223.22 How must agencies protect vital 

records? 

1223.24 When can vital records be 

destroyed? 

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

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

§ 1223.1 What are the authorities for Part 

1223? 

(a) The authorities for this part are 44 

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

Assignment of Emergency Preparedness 

Responsibilities, and 13231, Critical 

Infrastructure Protection in the 

Information Age; 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 Emergency Management Agency 

Federal Preparedness Circular (FPC) 65, 

Federal Executive Branch Continuity of 

Operations (COOP). 

§ 1223.2 What definitions apply to this 

part? 

(a) See § 1220.18 of this subchapter 

for definitions of terms used throughout 

subchapter B, including part 1223. 

(b) As used in part 1223—

Cycle means the periodic removal of 

obsolete copies of vital records and their 

replacement with copies of current vital 

records. This may occur daily, weekly, 

quarterly, annually or at other 

designated intervals. 

Disaster means an unexpected 

occurrence inflicting widespread 

destruction and distress and having 

long-term adverse effects on agency 

operations. Each agency defines what a 

long-term adverse effect is in relation to 

its most critical program activities. 

Emergency means a situation or an 

occurrence of a serious nature, 

developing suddenly and unexpectedly, 

and demanding immediate action. This 

is generally of short duration, for 

example, an interruption of normal 

agency operations for a week or less. It 

may involve electrical failure or minor 

flooding caused by broken pipes. 

Emergency operating records are that 

type 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, 


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staffing assignments, selected program 

records needed to continue the most 

critical agency operations, as well as 

related policy or procedural records that 

assist agency staff in conducting 

operations under emergency conditions 

and for resuming normal operations 

after an emergency. 

Legal and financial rights records are 

that type of vital records essential to 

protect the legal and financial rights of 

the Government and of the individuals 

directly affected by its activities. 

Examples include accounts receivable 

records, Social Security records, payroll 

records, retirement records, and 

insurance records. These records were 

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

National security emergency means 

any occurrence, including natural 

disaster, military attack, technological 

emergency, or other emergency, that 

seriously degrades or threatens the 

national security of the United States, as 

defined in Executive Order 12656. 

Off-site storage means a facility other 

than an agency’s normal place of 

business where records are kept until 

eligible for final disposition. Vital 

records may be kept at off-site storage to 

ensure that they are not damaged or 

destroyed should an emergency occur in 

an agency’s normal place of business. 

Vital records means essential agency 

records that are needed to meet 

operational responsibilities under 

national security emergencies or other 

emergency conditions (emergency 

operating records) or to protect the legal 

and financial rights of the Government 

and those affected by Government 

activities (legal and financial rights 

records). 

Vital records program means the 

policies, plans, and procedures 

developed and implemented and the 

resources needed to identify, use, and 

protect the essential records needed to 

meet operational responsibilities under 

national security emergencies or other 

emergency conditions or to protect the 

Government’s rights or those of its 

citizens. This is a program element of an 

agency’s emergency management 

function. 

§ 1223.3 What standards are used as 

guidelines for Part 1223? 

These regulations conform with 

guidance provided in ISO 15489–

1:2001. Paragraphs 7.1 (Principles of 

records management programmes) and 

9.6 (Storage and handling) apply to vital 

records. 

§ 1223.10 What is the purpose of Part 

1223? 

Part 1223 prescribes policies and 

procedures needed to establish a 

program to identify protect, and manage 

vital records as part of an agency’s 

continuity of operation plan designed to 

meet emergency management 

responsibilities. 

§ 1223.12 What are the objectives of a vital 

records program? 

A vital records program has two 

objectives: 

(a) It provides an agency with the 

information it needs to conduct its 

business under other than normal 

operating conditions and to resume 

normal business afterward; and 

(b) It enables agency officials to 

identify and protect the most important 

records dealing with the legal and 

financial rights of the agency and of 

persons directly affected by the agency’s 

actions. 

§ 1223.14 What elements must a vital 

records program include? 

To achieve compliance with this 

section, an agency’s vital records 

program must contain all elements 

listed in Annex G of FPC 65. In carrying 

out a vital records program, agencies 

must: 

(a) Specify agency staff 

responsibilities; 

(b) Appropriately inform all staff 

about vital records; 

(c) Ensure that the designation of vital 

records is current and complete; and 

(d) Ensure that vital records are 

adequately protected, accessible, and 

immediately usable. 

§ 1223.16 How are vital records identified? 

Agencies identify vital records in the 

context of the emergency management 

function. Vital records are those that are 

needed to perform the most critical 

functions of the agency and those 

needed to protect legal and financial 

rights of the Government and of the 

persons affected by its actions. Vital 

records also include emergency plans 

and related records that specify how an 

agency will respond to an emergency. 

The informational content of record 

series and electronic records systems 

determines which are vital records. 

Only the most recent and complete 

sources of the information are vital 

records. 

§ 1223.18 Must vital records be in a 

particular form or format? 

(a) Vital records can be original 

records or copies of records. Consult 

NARA records management guidance on 

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

records-mgmt/vital-records/index.html 

for further information. 

(b) Records may be maintained on a 

variety of media including paper, 

magnetic tape, optical disk, 

photographic film, and microform. In 

selecting the media, agencies must 

ensure that equipment needed to read 

the specific media will be available 

following an emergency or disaster. 

§ 1223.20 What are the requirements for 

accessing vital records during an 

emergency? 

Agencies must establish retrieval 

procedures for vital records that are 

easily implemented, especially since 

individuals unfamiliar with the records 

may need to use them in an emergency. 

For electronic records systems, agencies 

must also ensure that appropriate 

hardware, software, and system 

documentation adequate to operate the 

system and access the records will be 

available in case of an emergency. 

§ 1223.22 How must agencies protect vital 

records? 

Agencies must take appropriate 

measures to ensure the survival of the 

vital records or copies of vital records in 

case of an emergency. 

(a) Duplication. Agencies may choose 

to duplicate vital records as the primary 

protection method. Duplication can be 

to the same medium as the original 

record or to a different medium. When 

agencies choose duplication as a 

protection method, the copy of the vital 

record stored off-site is normally a 

duplicate of the original record. The 

agency may store the original records 

off-site if their protection is necessary, 

or if it does not need to keep the original 

records at its normal place of business. 

(b) Dispersal. Once records are 

duplicated, they must be dispersed to 

sites a sufficient distance away so as not 

to be subject to the same emergency. 

Dispersal sites may be other office 

locations of the same agency or some 

other site. 

(c) Storage considerations. Copies of 

emergency operating vital records must 

be accessible in a very short period of 

time for use in the event of an 

emergency. Copies of legal and financial 

rights records may not be needed as 

quickly. In deciding where to store vital 

record copies, agencies must treat 

records that have the properties of both 

categories, that is, emergency operating 

and legal and financial rights records, as 

emergency operating records. 

(1) The off-site copy of legal and 

financial rights vital records may be 

stored at an off-site agency location or, 

in accordance with § 1233.12 of this 

chapter, at a records storage facility. 


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(2) When using a NARA records 

storage facility for storing vital records 

that are duplicate copies of original 

records, the agency must specify on the 

Standard Form 135, Records Transmittal 

and Receipt, that they are vital records 

(duplicate copies) and the medium on 

which they are maintained. The agency 

must also periodically cycle (update) 

them by removing obsolete items and 

replacing them with the most recent 

version. 

§ 1223.24 When can vital records be 

destroyed? 

The disposition of vital records that 

are original records is governed by 

records schedules approved by NARA 

(see part 1225, Scheduling Records). 

Agencies must not destroy original 

records that are not scheduled. 

Duplicate copies created and 

maintained for vital records purposes 

only may be destroyed when 

superseded or obsolete during the 

routine vital records cycle process. 

PART 1224—RECORDS DISPOSITION 

PROGRAMS 

Sec. 

1224.1 What are the authorities for Part 

1224? 

1224.2 What definitions apply to this part? 

1224.3 What standards are used as guidance 

for this part? 

1224.10 What must agencies do to 

implement an effective records 

disposition program? 

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

3301. 

§ 1224.1 What are the authorities for Part 

1224? 

The statutory authorities for this part 

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

3301. 

§ 1224.2 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used in part 1224. 

§ 1224.3 What standards are used as 

guidance for this part? 

These regulations conform to 

guidance provided in ISO 15489–

1:2001. Paragraphs 7.1 (Principles of 

records management programmes), 8.3.7 

(Retention and disposition), 8.5 

(Discontinuing records systems), and 9.9 

(Implementing disposition) apply to 

records disposition. 

§ 1224.10 What must agencies do to 

implement an effective records disposition 

program? 

In order to properly implement the 

provisions of §§ 1220.30(c)(2), 

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

agencies must: 

(a) Ensure that all records are 

scheduled in accordance with part 1225, 

schedules are implemented in 

accordance with part 1226, 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). 

(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 

records systems (whether paper or 

electronic). See § 1236.6. 

(e) Provide training and guidance to 

all employees on agency records 

disposition requirements and 

procedures and other significant aspects 

of the records disposition program. 

When a new or revised records schedule 

is issued, provide specific guidance to 

employees responsible for applying the 

schedule. 

PART 1225—SCHEDULING RECORDS 

Sec. 

1225.1 What are the authorities for this 

part? 

1225.2 What definitions apply to this part? 

1225.3 What standards are used as guidance 

for this part? 

1225.10 What Federal records must be 

scheduled? 

1225.12 How are records schedules 

developed? 

1225.14 How do agencies schedule 

permanent records? 

1225.16 How do agencies schedule 

temporary records? 

1225.18 How do agencies request records 

disposition authority? 

1225.20 When do agencies have to get GAO 

approval for schedules? 

1225.22 When must scheduled records be 

rescheduled? 

1225.24 When can an agency apply 

previously approved schedules to 

electronic records? 

1225.26 How do agencies change a 

disposition authority? 

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

3102, and Chapter 33. 

§ 1225.1 What are the authorities for this 

part? 

The statutory authorities for this part 

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

and Chapter 33. 

§ 1225.2 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used throughout 

Subchapter B, including part 1225. 

§ 1225.3 What standards are used as 

guidance for this part? 

These regulations conform to 

guidance provided in ISO 15489–

1:2001. 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), and 9.10 

(Documenting records management 

processes) apply to records scheduling. 

§ 1225.10 What Federal records must be 

scheduled? 

All Federal records, including those 

created or maintained for the 

Government by a contractor, must be 

covered by a NARA-approved agency 

disposition authority, Standard Form 

(SF) 115, Request for Records 

Disposition Authority, or the NARA 

General Records Schedules. See 

§§ 1230.10 and 1234.32 of Subchapter B, 

for requirements specific to microform 

and electronic records, respectively. 

§ 1225.12 How are records schedules 

developed? 

The principal steps in developing 

agency records schedules are listed 

below. Details are given in the NARA 

Disposition of Federal Records 

handbook http://www.archives.gov/ 

records-mgmt/publications/dispositionof-federal-records/index.html and other 

NARA guidance. 

(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 

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 


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approval on or after December 17, 2007, 

are media neutral, i.e., the disposition 

instructions apply to the described 

records in all media, 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 the 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 General 

Accounting Office, when required under 

title 8 of the GAO Policy and Procedures 

Manual for the Guidance of Federal 

Agencies (see § 1225.20). 

(i) Submit an SF 115 covering new or 

only revised record items to NARA for 

approval (see § 1225.18(d)). 

(j) The disposition instructions on SFs 

115 approved by the Archivist of the 

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

3314). 

§ 1225.14 How do agencies schedule 

permanent records? 

(a) Identification. Identify potentially 

permanent records using guidelines in 

the NARA records management 

handbook, Disposition of Federal 

Records. 

(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; 

(iii) Inclusive dates; 

(iv) An arrangement statement; 

(v) Statement of restrictions on access 

under the Freedom of Information Act 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. 

(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 

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. 

(1) If NARA determines either that 

records are not permanent or that the 

transfer instructions are not appropriate, 

it will notify the agency and negotiate 

an appropriate disposition. The 

disposition instruction on the SF 115 

will be modified prior to NARA 

approval. 

(2) If NARA and the agency cannot 

agree on the disposition and/or 

retention period for an item(s), the 

items(s) will be withdrawn. In these 

cases, the agency must submit an SF 115 

with a revised proposal for disposition; 

unscheduled records must be treated as 

permanent until a new schedule is 

approved. 

§ 1225.16 How do agencies schedule 

temporary records? 

(a) Identification. Federal agencies 

request authority to dispose of records, 

either immediately or on a recurring 

basis. Requests for immediate disposal 

are limited to existing records that no 

longer accumulate. For recurring 

records, approved schedules provide 

continuing authority to destroy the 

records. The retention periods approved 

by NARA are mandatory, and the 

agency must dispose of the records after 

expiration of the retention period, 

except as provided in §§ 1226.18 and 

1226.20. 

(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, 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 will submit an 

SF 115 with a revised proposal for 

disposition within 6 months of the date 

of the approval of the original SF 115 or 

withdrawal of the SF 115 item. 

§ 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) SFs 115 include only records not 

covered by the General Records 

Schedules (GRS) (see part 1227), 

deviations from the GRS (see § 1227.10), 

or previously scheduled records 

requiring changes in retention periods 

or substantive changes in description. 

(c) SFs 115 do not include nonrecord 

material. The disposition of nonrecord 

materials is determined by agencies and 

does not require NARA approval. 

(d) The following elements are 

required on a SF 115: 

(1) Title and description of the 

records covered by each item. 

(2) Disposition instructions that can 

be readily applied. Records schedules 

must provide for: 

(i) The destruction of records that no 

longer have sufficient value to justify 

further retention (see § 1224.10(b)); 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 SFs 115 that are 

improperly prepared. The agency must 

make the necessary corrections and 

resubmit the form to NARA. 

§ 1225.20 When do agencies have to get 

GAO approval for schedules? 

(a) As specified in the GAO Policy 

and Procedures Manual for Guidance of 

Federal Agencies, title 8—Records 

Management (44 U.S.C. 3309), 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, 


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(2) Deviations from GRS 2–10, and 

(3) Certain records relating to claims 

and demands by or against the 

Government, and to accounts in which 

the Government is concerned. 

(b) This approval must be obtained 

before NARA will approve the 

disposition request. 

§ 1225.22 When must scheduled records 

be rescheduled? 

Agencies must submit an SF 115, 

Request for Records Disposition 

Authority, to NARA in the following 

situations: 

(a) If an interagency reorganization 

reassigns functions to an existing 

department or agency, the gaining 

organization must submit an SF 115 to 

NARA within one year of the 

reorganization. Schedules approved for 

one department or independent agency 

do not apply to records of other 

departments or agencies. 

(b) If a new department or agency 

assumes functions from an existing one, 

the new agency must schedule records 

documenting the acquired functions and 

all other records not covered by the GRS 

within two years. 

(c) If an agency needs to deviate from 

retention periods in the GRS. 

(d) If an agency needs to change 

retention periods for records previously 

appraised as temporary by NARA. 

(e) If an agency needs to change the 

approved disposition of records from 

permanent to temporary or vice versa. 

(f) If an agency needs to modify the 

description of records because the 

informational content of the records 

and/or the function documented by the 

records changes. 

(g) If an agency decides to change the 

scope of the records schedule items to 

include a greater or lesser aggregation of 

records (see § 1225.12(c)), unless 

§ 1225.24 applies. 

(h) Agencies must submit a new 

schedule to NARA for electronic 

versions of previously scheduled 

records if: 

(1) The content and function of the 

records have changed significantly (e.g., 

the electronic records contain 

information that is substantially 

different from the information included 

in the hard copy series or are used for 

different purposes). 

(2) The previously approved schedule 

explicitly excludes electronic records. 

(3) The electronic records consist of 

program records maintained on an 

agency Web site. 

(4) The electronic records consist of 

temporary program records maintained 

in a format other than scanned image 

AND the previously approved schedule 

is not media neutral. 

§ 1225.24 When can an agency apply 

previously approved schedules to 

electronic records? 

If the conditions specified in 

§ 1225.22(h) do not apply, the following 

conditions apply: 

(a) Permanent records. (1) The agency 

may apply a previously approved 

schedule for hard copy records to 

electronic versions of the permanent 

records when the electronic records 

system replaces a single series of hard 

copy permanent records or the 

electronic records consist of information 

drawn from multiple previously 

scheduled permanent series. Agencies 

must notify NARA (NWM) in writing of 

records that have been previously 

scheduled as permanent in hard copy 

form, including special media records as 

described in 36 CFR 1235.52. 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) 

or may submit a new schedule if the 

agency believes the electronic records 

do not warrant permanent retention. 

(b) Temporary still pictures, sound 

recordings, motion picture film, and 

video recordings. The agency must 

apply the previously approved schedule 

to digital versions. If changes in the 

approved schedule are required, follow 

§ 1225.26. 

(c) Scanned images of temporary 

records, including temporary program 

records. The agency must apply the 

previously approved schedule. If 

changes in the approved schedule are 

required, follow § 1225.26. 

(d) Other temporary records 

maintained in an electronic format 

other than scanned images. (1) For 

temporary records that are covered by 

an item in a General Records Schedule 

(other than those General Records 

Schedule items that exclude electronic 

master files and databases) or an agencyspecific schedule that pertains to 

administrative housekeeping activities, 

apply the previously approved 

schedule. If the electronic records 

consist of information drawn from 

multiple hard copy series, apply the 

previously approved schedule item with 

the longest retention period. 

(2) For temporary program records 

covered by a NARA-approved media 

neutral schedule item (i.e., the item 

appears on a schedule submitted to 

NARA for approval before December 17, 

2007, that is explicitly stated to be 

media neutral, or it appears on a 

schedule submitted to NARA for 

approval on or after December 17, 2007, 

that is not explicitly limited to a specific 

recordkeeping medium), apply the 

previously approved schedule. 

§ 1225.26 How do agencies change a 

disposition authority? 

Agencies must submit an SF 115 to 

permanently change the approved 

disposition of records. Disposition 

authorities are automatically superseded 

by approval of a later SF 115 for the 

same records unless the later SF 115 

specifies an effective date. As provided 

in § 1226.20(c), agencies are authorized 

to retain records eligible for destruction 

until the new schedule is approved. 

(a) SFs 115 that revise previously 

approved disposition authorities must 

cite the SF 115 and item numbers to be 

superseded, the current printed records 

disposition schedule and item numbers, 

if any, and/or the General Records 

Schedules and item numbers that cover 

the records. 

(b) Agencies must submit with the SF 

115 an explanation and justification for 

the change. 

(c) For temporary retention of records 

beyond their normal retention period, 

see § 1226.18. 

(d) Agencies must secure NARA 

approval of a change in the period of 

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 NARA (NWM). 

NARA approval is documented as an 

annotation to the schedule item. 

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? 


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1226.16 Does NARA ever withdraw 

disposition authority? 

1226.18 When may agencies temporarily 

extend retention periods? 

1226.20 How do agencies temporarily 

extend retention periods? 

1226.22 When must agencies transfer 

permanent records? 

1226.24 How must agencies destroy 

temporary records? 

1226.26 How do agencies donate temporary 

records? 

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

3301. 

§ 1226.1 What are the general authorities 

for this part? 

The statutory authorities are 44 U.S.C. 

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

§ 1226.2 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used throughout 

subchapter B, including part 1226. 

§ 1226.3 What standards are used as 

guidance for this part? 

This part is in conformance with ISO 

15489–1:2001, sections 8.3.7 (Retention 

and disposition), 8.5 (Discontinuing 

records systems), 9.2 (Determining how 

long to retain records), and 9.9 

(Implementing disposition). 

§ 1226.10 Must agencies apply approved 

schedules to their records? 

The application of approved 

schedules is mandatory except as 

provided in § 1226.16 and § 1226.18. 

Federal records must be retained as 

specified in the schedule to conduct 

Government business, protect rights, 

avoid waste, and preserve permanent 

records for transfer to NARA. 

§ 1226.12 How do agencies disseminate 

approved schedules? 

(a) Agencies must issue disposition 

authorities through their internal 

directives system within six months of 

approval of the SF 115 or GRS to ensure 

proper distribution and application of 

the schedule. The directive must cite 

the legal authority (GRS or SF 115 and 

item numbers) for each schedule item 

covering records. 

(b) Agencies must send, via link or 

file, an electronic copy of each 

published agency schedule, directive, 

and other policy issuance relating to 

records disposition to NARA at 

RM.Communications@nara.gov when 

the directive, manual, or policy issuance 

is posted or distributed. 

(c) The submission must include the 

name, title, agency, address, and 

telephone number of the submitter. If 

the comprehensive records schedule or 

other policy issuance is posted on a 

publicly available Web site, the agency 

must provide the full Internet address 

(URL). 

§ 1226.14 What are the limitations in 

applying approved records schedules? 

Agencies must apply the approved 

records disposition schedules to their 

agency’s records with the following 

limitations: 

(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 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 submit an SF 115 to 

NARA for disposition authorization 

promptly. Until the new records 

schedule is approved, the records are 

unscheduled. See § 1225.22. 

(c) Unless otherwise specified, newly 

approved disposition authorities apply 

retroactively to all existing records as 

described in the schedule. 

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

order for expungement or destruction), 

an agency may destroy temporary 

records before their NARA-authorized 

disposition date. In accordance with 

§ 1230.14, an agency must notify NARA 

(NWM) when permanent or 

unscheduled records are to be destroyed 

in response to a court order. If the 

records have significant historical value, 

NARA will promptly advise the agency 

of any concerns over their destruction. 

§ 1226.16 Does NARA ever withdraw 

disposition authority? 

(a) When required to ensure the 

preservation of Government records, or 

when required by an emergency, or to 

maintain efficiency of Government 

operations, NARA will withdraw 

disposal authorizations in approved 

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

withdrawal may apply to particular 

items on agency schedules or may apply 

to all existing authorizations for a 

specified type of record in any or all 

agencies. 

(b) To both impose and rescind the 

withdrawal, NARA will notify the 

affected agency or agencies in writing, 

either by letter or NARA bulletin. 

§ 1226.18 When may agencies temporarily 

extend retention periods? 

(a) Agencies may temporarily retain 

records approved for destruction 

beyond their NARA-approved retention 

period if special circumstances alter the 

normal administrative, legal, or fiscal 

value of the records. 

(1) Agencies must not retain records 

whose disposal after a specified period 

is required by statute, unless retention 

is ordered by a court. 

(2) In determining whether or not to 

temporarily extend the retention period 

of records, agencies must ensure that the 

extension of retention is consistent with 

the requirement contained in 5 U.S.C. 

552a (Privacy Act of 1974, as amended) 

that records concerning individuals are 

maintained only if relevant and 

necessary to accomplish a purpose of 

the agency that is required by law or 

executive order. 

(b) If the records that are to be 

temporarily retained beyond their 

approved destruction date have been 

transferred to records storage facilities, 

agencies must notify the facility. 

(c) Once the special circumstances 

that require extended retention of 

records have elapsed, agencies must 

destroy the records in accordance with 

the NARA-approved disposition 

instructions. 

(d) Agencies must submit an SF 115 

to NARA to change schedule provisions 

on a continuing basis in accordance 

with § 1225.26. Agencies may retain 

records eligible for destruction until the 

new schedule is approved. 

§ 1226.20 How do agencies temporarily 

extend retention periods? 

(a) Agencies must secure NARA 

written approval to retain records series 

or systems that are eligible for 

destruction under NARA-approved 

schedules except when: 

(1) The agency has requested a change 

in the records schedule in accordance 

with § 1225.26, 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. Agencies must inform 

NARA about such court orders in 

writing. The notification must include a 

copy of the order and the information 

specified in § 1226.20(b)(1) through 

(b)(4). 

(b) To request an extension, agencies 

must send a letter to NARA (NWM). 

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 General Records 

Schedule currently governing 

disposition of the records; 


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(3) A statement of the estimated 

period of time that the records will be 

required; and 

(4) For records in the agency’s 

custody, a statement of the current and 

proposed physical location of the 

records. 

(c) Agencies must ensure that records 

in records storage facilities are retained 

for the duration of the extension. 

§ 1226.22 When must agencies transfer 

permanent records? 

All records scheduled as permanent 

must be transferred to the National 

Archives of the United States after the 

period specified on the SF 115 in 

accordance with procedures specified 

under § 1235.12. 

§ 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. 

(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 wastepaper contractor must 

definitively destroy the information 

contained in the records by one of the 

means specified in paragraph (b) 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 reused if 

the previously recorded information can 

be compromised by reuse in any way. 

§ 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 

NARA (NWM), 8601 Adelphi Rd., 

College Park, MD 20740–6001. The 

request must include: 

(1) The name of the department or 

agency, and subdivisions thereof, 

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) That 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) That 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 disposal 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 

guidelines 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). 

§ 1227.1 What are the authorities for Part 

1227? 

The statutory authority for this part is 

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

§ 1227.2 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used in part 1227. 

§ 1227.3 What standards are used as 

guidelines for this part? 

These regulations are in conformance 

with ISO 15489–1:2001, paragraphs 9.2 

(Determining how long to retain 

records) and 9.9 (Implementing 

disposition). 

§ 1227.10 What are General Records 

Schedules (GRS)? 

General Records Schedules (GRS) are 

schedules issued by the Archivist of the 

United States that authorize, after 

specified periods of time, the 

destruction of temporary records or the 

transfer to NARA of permanent records 

that are common to several or all 

agencies. 

§ 1227.12 When must agencies apply the 

GRS? 

(a) Agencies apply the disposition 

instructions of the GRS, as provided in 

the following table. 

When NARA issues a new or revised GRS, and Then 

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

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

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

must submit an SF 115 in accordance with 36 CFR part 1225, and a 

justification for the deviation. 


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When NARA issues a new or revised GRS, and Then 

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

GRS permits use of existing agency-specific schedules.

Your agency may follow the disposition instructions in either the GRS 

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

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

within 90 days of the issuance of the new or revised GRS. 

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

(b) Except as provided in the table in 

paragraph (a), agencies must incorporate 

in their disposition manual or otherwise 

disseminate new and revised GRS 

within 6 months after NARA has issued 

the GRS Transmittal. 

(c) NARA may, at its discretion, apply 

the provisions of the GRS to records in 

its legal custody, subject to the 

provisions of § 1235.34. 

§ 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 Program (NWM), 8601 

Adelphi Road, College Park, MD 20740–

6001. 

(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? 

1228.10 When do loans of permanent and 

unscheduled records require NARA 

approval? 

1228.12 How do agencies obtain approval 

to loan permanent or unscheduled 

records? 

1228.14 How will NARA handle a loan 

request? 

1228.16 When must agencies retrieve 

records that have been loaned? 

Authority: 44 U.S.C. 2904. 

§ 1228.1 What are the authorities for this 

part? 

The statutory authority for this part is 

44 U.S.C. 2904. 

§ 1228.2 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used in Part 1228. 

§ 1228.10 When do loans of permanent 

and unscheduled records require NARA 

approval? 

Loans of permanent or unscheduled 

records between Federal agencies or to 

non-Federal recipients require prior 

written approval from NARA. The loan 

of permanent or unscheduled records 

increases the likelihood of the records 

becoming lost, misplaced, or 

incorporated into other files. Agencies 

should consider reproducing or 

scanning the records in response to a 

loan request. 

§ 1228.12 How do agencies obtain 

approval to loan permanent or unscheduled 

records? 

(a) An agency proposing to loan 

permanent or unscheduled records must 

prepare a written loan agreement with 

the proposed recipient. The agreement 

must include: 

(1) The name of the department or 

agency and subdivisions having custody 

of the records; 

(2) The name and address of the 

proposed recipient of the records; 

(3) A list containing: 

(i) Identification of the records to be 

loaned, by series or system; 

(ii) The inclusive dates for each series 

or system; 

(iii) The volume and media of the 

records to be loaned; and 

(iv) The NARA disposition job (SF 

115) and item numbers covering the 

records, if any. 

(4) A statement of the purpose and 

duration of the loan; 

(5) A statement specifying any 

restrictions on the use of the records 

and how these restrictions will be 

imposed by the recipient; 

(6) A certification that the records will 

be stored in areas with security and 

environmental controls equal to those 

specified in Part 1234; and 

(7) A signature block for the Archivist 

of the United States. The loan must not 

take place until the Archivist has signed 

the agreement. 

(b) The agency must send a written 

request to NARA (NWM) transmitting 

the proposed loan agreement, citing the 

rationale for not providing copies in 

place of the original records, and 

specifying the name, title, and 

telephone number of an agency contact. 

The request must be submitted or 

approved by the individual authorized 

to sign records schedules as described 

in § 1220.34(b). 

§ 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 45 days. 

(b) NARA will deny the request if the 

records are due or past due to be 

transferred to the National Archives of 

the United States in accordance with 

Part 1235, if the loan would endanger 

the records, or if the loan would 

otherwise violate the regulations in 36 

CFR chapter XII, subchapter B. NARA 

will notify the agency in writing if it 

disapproves the loan and the reasons for 

the disapproval of the loan. 

§ 1228.16 When must agencies retrieve 

records that have been loaned? 

An agency must contact the recipient 

of loaned permanent or unscheduled 

records 30 days prior to the expiration 

of the loan period (as stated in the loan 

agreement) to arrange for the return of 

the records. If the agency extends the 

duration of the loan, it must notify 

NARA (see § 1228.12(b)) in writing, 

specifying the reason for the extension 

and providing the new expiration date 

of the loan. 

PART 1229—EMERGENCY 

AUTHORIZATION TO DESTROY 

RECORDS 

Sec. 

1229.1 What is the scope of this part? 

1229.2 What are the authorities for this 

part? 

1229.3 What definitions apply to this part? 

1229.10 What steps must be taken when 

records are a continuing menace to life, 

health, or property? 

1229.12 What are the requirements during a 

state of war or threatened war? 

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

§ 1229.1 What is the scope of this part? 

This part describes certain conditions 

under which records may be destroyed 

without regard to the provisions of part 

1226. 

§ 1229.2 What are the authorities for this 

part? 

The statutory authorities for this part 

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


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§ 1229.3 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used in part 1229. 

§ 1229.10 What steps must be taken when 

records are a continuing menace to life, 

health, or property? 

When the Archivist 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 

to property, the Archivist 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 NARA (NWM). The 

notice must specify the description of 

the records, their location and quantity, 

and the nature of the menace. Notice 

may be given via e-mail to 

RM.Communications@nara.gov, or via 

phone or fax to NWM or the NARA 

Regional Administrator. 

(b) If NARA concurs in a 

determination that the records must be 

destroyed, the NARA will notify the 

agency to immediately destroy the 

records. 

(c) If NARA does not concur that the 

menace must be eliminated by 

destruction of the records, NARA will 

advise the agency on remedial action to 

address the menace. 

§ 1229.12 What are the requirements 

during a state of war or threatened war? 

(a) Destruction of records outside the 

territorial limits of the continental 

United States is authorized whenever, 

during a state of war between the United 

States and any other nation or when 

hostile action by a foreign power 

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 

NARA (NWM) 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 this 

part? 

1230.2 What standards are used as 

guidelines for this part? 

1230.3 What definitions apply to this part? 

1230.10 Who is responsible for preventing 

the unlawful or accidental removal, 

defacing, alteration, or destruction of 

records? 

1230.12 What are the penalties for unlawful 

or accidental removal, defacing, 

alteration, or destruction of records? 

1230.14 How do agencies report incidents? 

1230.16 How does NARA handle 

allegations of damage, alienation, or 

unauthorized destruction of records? 

1230.18 What assistance is available to 

agencies to recover unlawfully removed 

records? 

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

§ 1230.1 What are the authorities for this 

part? 

The statutory authorities for this part 

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

§ 1230.2 What standards are used as 

guidelines for this part? 

These regulations conform to 

guidance provided in ISO 15489–

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

(Characteristics of a record), 8.2 

(Records systems characteristics), and 

8.3 (Designing and implementing 

records systems). 

§ 1230.3 What definitions apply to this 

part? 

(a) See § 1220.18 of this subchapter 

for definitions of terms used throughout 

subchapter B, including part 1230. 

(b) As used in part 1230—

Alteration means the unauthorized 

annotation, addition, or deletion to a 

record. 

Deface means to obliterate, mar or 

spoil the appearance or surface of a 

record that impairs the usefulness or 

value of the record. 

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 

NARA-approved retention period of a 

temporary record (other than courtordered disposal under § 1226.14(d)); 

and disposal of a record subject to a 

FOIA request, litigation hold, or any 

other hold requirement to retain the 

records. 

§ 1230.10 Who is responsible for 

preventing the unlawful or accidental 

removal, defacing, alteration, or destruction 

of records? 

The heads of Federal agencies must: 

(a) Prevent the unlawful or accidental 

removal, defacing, alteration, or 

destruction of records. Section 

1222.24(a)(6) prohibits removing 

records from the legal custody of the 

agency. Records must not be destroyed 

except under the provisions of NARAapproved agency records schedules or 

the General Record Schedules issued by 

NARA; 

(b) Take adequate measures to inform 

all employees and contractors of the 

provisions of the law relating to 

unauthorized destruction, removal, 

alteration or defacement of records; 

(c) Implement and disseminate 

policies and procedures to ensure that 

records are protected against unlawful 

or accidental removal, defacing, 

alteration and destruction; and 

(d) Direct that any unauthorized 

removal, defacing, alteration or 

destruction be reported to NARA. 

§ 1230.12 What are the penalties for 

unlawful or accidental removal, defacing, 

alteration, or destruction of records? 

The penalties for the unlawful or 

accidental removal, defacing, alteration, 

or destruction of Federal records or the 

attempt to do so, include a fine, 

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

and 2071). 

§ 1230.14 How do agencies report 

incidents? 

The agency must report promptly any 

unlawful or accidental removal, 

defacing, alteration, or destruction of 

records in the custody of that agency to 

NARA (NWM). 

(a) The report must include: 

(1) A complete description of the 

records with volume and dates if 

known; 

(2) The office maintaining the records; 

(3) A statement of the exact 

circumstances surrounding the removal, 

defacing, alteration, or destruction of 

records; 

(4) A statement of the safeguards 

established to prevent further loss of 

documentation; and 

(5) When appropriate, details of the 

actions taken to salvage, retrieve, or 

reconstruct the records. 

(b) The report must be submitted or 

approved by the individual authorized 

to sign records schedules as described 

in § 1220.34(b). 


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§ 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: 

(a) If the threat has not yet resulted in 

damage, removal, or destruction, NARA 

will contact the agency by telephone 

promptly and follow up in writing 

within five business days. 

(b) If records have allegedly been 

damaged, removed, or destroyed, NARA 

will notify the agency in writing 

promptly with a request for a response 

within 30 days. 

§ 1230.18 What assistance is available to 

agencies to recover unlawfully removed 

records? 

NARA will assist the head of the 

agency in the recovery of any 

unlawfully removed records, including 

by 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 this part? 

1231.2 What definitions apply to this part? 

1231.10 Who has the authority to approve 

the transfer of records from the custody 

of one executive agency to another? 

1231.12 How do executive agencies request 

to transfer records to another executive 

agency? 

1231.14 May the records of terminated 

agencies be transferred to another 

agency? 

1231.16 What restrictions are there on use 

of transferred records? 

1231.18 When are records transferred 

between executive agencies without 

NARA approval? 

Authority: 44 U.S.C. 2908. 

§ 1231.1 What is the authority for this 

part? 

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

2908. 

§ 1231.2 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used throughout 

Subchapter B, including this part. 

§ 1231.10 Who has the authority to 

approve the transfer of records from the 

custody of one executive agency to 

another? 

The Archivist of the United States 

must approve in writing the transfer of 

records from the custody of one 

executive agency to another, except as 

provided in § 1231.18(a). 

§ 1231.12 How do executive agencies 

request to transfer records to another 

executive agency? 

An executive agency that proposes to 

transfer records to another agency must 

request approval of the transfer of 

records in writing from NARA (NWM). 

The request must include: 

(a) A concise description of the 

records to be transferred, including the 

volume in cubic feet; 

(b) A statement of the restrictions 

imposed on the use of records; 

(c) A statement of the agencies and 

persons using the records and the 

purpose of this use; 

(d) A statement of the current and 

proposed physical and organizational 

locations of the records; 

(e) A justification for the transfer 

including an explanation of why it is in 

the best interests of the Government; 

and 

(f) Copies of the concurrence in the 

transfer by the heads of all agencies 

involved in the proposed transfer. 

§ 1231.14 May the records of terminated 

agencies be transferred to another agency? 

The records of executive agencies 

whose functions are terminated or are in 

process of liquidation may be 

transferred to another executive agency 

that inherits the function. All such 

transfers must be made in accordance 

with the provisions of this part 1231. 

§ 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. 

§ 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 centers or to 

the National Archives of the United 

States in accordance with parts 1232, 

1233, and 1235; 

(b) Temporary records are loaned for 

official use; 

(c) The transfer of records or functions 

or both is required by statute, Executive 

Order, Presidential reorganization plan, 

or Treaty, or by specific determinations 

made thereunder; 

(d) The records are transferred 

between two components of the same 

Executive department; or 

(e) Records accessioned into the 

National Archives of the United States 

are later found to lack sufficient value 

for continued retention in the National 

Archives. The disposition of such 

records is governed by § 1235.34. 

PART 1232—TRANSFER OF RECORDS 

TO RECORDS STORAGE FACILITIES 

Sec. 

1232.1 What are the authorities for this 

part? 

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 agencies 

create before it transfers records to a 

records storage facility? 

1232.18 What procedures must an agency 

follow to transfer records to an agency 

records center or commercial records 

storage facility? 

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

§ 1232.1 What are the authorities for Part 

1232? 

The statutory authorities for this part 

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

§ 1232.2 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used throughout 

Subchapter B, including Part 1232. 

§ 1232.3 What standards are used as 

guidelines for this part? 

These regulations conform to 

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 


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Department of Defense and the Office of 

Personnel Management and other 

designated records pertaining to former 

Federal civilian employees. A list of 

NARA Federal Records Centers is 

available from the NARA Web site at 

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

index.html and also in the U.S. 

Government Manual, which is for sale 

from the Superintendent of Documents, 

U.S. Government Printing Office, Mail 

Stop: SSOP, Washington, DC 20402–

9328, and is available on the Internet 

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

index.html. 

(b) Records centers operated by or on 

behalf of one or more Federal agencies 

other than NARA. 

(c) Commercial records storage 

facilities operated by private entities. 

§ 1232.12 Under what conditions may 

Federal records be stored in records 

storage facilities? 

The following chart shows what 

records can be stored in a records 

storage facility and the conditions that 

apply: 

Type of record Conditions 

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

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

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

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

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

1234. 

(5) Civilian Personnel Records ................................................................. May only be transferred to the National Personnel Records Center 

(NPRC), St. Louis, MO (see part 1233). 

§ 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 of this part 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 NARA (NWM) in writing prior to 

the transfer. The notification must 

identify the records storage facility and 

include a copy of the information 

required by § 1232.16(a). 

(c) For all records being transferred, 

create documentation sufficient to 

identify and locate files. (See § 1232.16.) 

(d) Ensure that NARA-approved 

retention periods are implemented 

properly and that records documenting 

final disposition actions (destruction or 

transfer to the National Archives of the 

United States) are created and 

maintained as required by 36 CFR 

1226.22. 

§ 1232.16 What documentation must 

agencies 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: 

(i) Creating office; 

(ii) Series title; 

(iii) 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); 

(iv) Date span; 

(v) Physical form and medium of 

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

sound recordings, photographs or digital 

images); 

(vi) Volume; 

(vii) Citation to NARA-approved 

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); 

(viii) Restrictions on access if 

applicable; 

(ix) Disposition (‘‘permanent,’’

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

pending’’); 

(x) Date of disposition action (transfer 

to the National Archives of the United 

States or destruction); 

(xi) Physical location, including name 

and address of facility; and 

(xii) 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 NARA 

(NWM) no later than 30 days after 

records are transferred to the agency 

records center or commercial records 

storage facility. 

(1) Retain temporary records until the 

expiration of their NARA-approved 

retention period and no longer, except 

as provided for in § 1226.18. 

(2) Transfer permanent records to the 

National Archives of the United States 

in accordance with 36 CFR part 1235. 

§ 1232.18 What procedures must an 

agency follow to transfer records to an 

agency records center or commercial 

records storage facility? 

Federal agencies must use the 

following procedures to transfer records 

to an agency records center or 

commercial records storage facility: 

(a) Agreements with agency records 

centers or contracts with commercial 

records storage facilities must 

incorporate the standards in Part 1234 

and allow for inspections by the agency 

and NARA to ensure compliance. An 

agency must remove records promptly 

from a facility if deficiencies identified 

during an inspection are not corrected 

within six months of issuance of the 

report. 

(b) For temporary records, the agency 

must make available to NARA on 

request the documentation specified in 

§ 1232.16. 

(c) Retain temporary records until the 

expiration of their NARA-approved 

retention period and no longer, except 

as provided for in § 1226.18. 

(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 

1226.22. 

(1) Agencies must establish 

procedures that ensure that temporary 

records are destroyed in accordance 

with NARA-approved 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 


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storage facility notify agency records 

managers or the creating office prior to 

the disposal of temporary records unless 

disposal of temporary records is 

initiated by the agency. 

(2) Move temporary records that are 

subsequently reappraised as permanent 

to a facility that meets the 

environmental control requirements for 

permanent records in § 1234.3 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 § 1234.3(b) 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. 

(e) Agencies must ensure that records 

that are restricted because they are 

security classified or exempt from 

disclosure by statute, including the 

Privacy Act (5 U.S.C. 552a), 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, or regulation), are 

destroyed in accordance with the 

requirements specified in § 1226.24. 

(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 this 

part? 

1233.2 What definitions apply to this part? 

1233.3 What standards are used as 

guidelines for this part? 

1233.10 How does an agency transfer 

records to a NARA Federal Records 

Center? 

1233.12 How does an agency transfer vital 

records to a NARA Federal Records 

Center? 

1233.14 What personnel records must be 

transferred to the National Personnel 

Records (NPRC)? 

1233.16 How does an agency transfer 

records to the National Personnel 

Records Center (NPRC)? 

1233.18 What reference procedures are 

used in NARA Federal Records Centers? 

1233.20 How are disposal clearances 

managed for records in NARA Federal 

Records Centers? 

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

§ 1233.1 What are the authorities for this 

part? 

The statutory authorities for this part 

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

§ 1233.2 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used throughout 

Subchapter B, including Part 1233. 

§ 1233.3 What standards are used as 

guidelines for this part? 

These regulations conform to 

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. 

§ 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 part 1234 of this part, 

which meets the agency’s obligation in 

§ 1232.14(a). 

(b) NARA Federal Records Centers 

may under some circumstances accept 

records that pose a threat to other 

records or to the health and safety of 

users including hazardous materials 

such as nitrate film, radioactive or 

chemically contaminated records, 

records exhibiting active mold growth, 

or untreated insect or rodent infiltrated 

records. Agencies may contact the 

NARA Federal Records Center for 

technical advice on treating such 

records. 

(c) Agencies must use their designated 

NARA Federal Records Center(s) as 

specified in their agency agreement with 

NARA (FRCP) for the storage of records. 

(d) Transfers to NARA Federal 

Records Centers must be preceded by 

the submission of a Standard Form (SF) 

135, Records Transmittal and Receipt. 

Preparation and submission of this form 

will meet the requirements for records 

description provided in § 1232.14(c), 

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. 

(e) A separate SF 135 is required for 

each individual records series having 

the same disposition authority and 

disposition date. 

(f) 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 Office of Regional Records Services 

(NR) or individual NARA Federal 

Records Centers (http:// 

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

§ 1233.12 How does an agency transfer 

vital records to a NARA Federal Records 

Center? 

For assistance on selecting an 

appropriate site among NARA facilities 

for storage of vital records, agencies may 

contact NARA (NR), 8601 Adelphi Rd., 

College Park, MD 20740–6001. The 

actual transfers are governed by the 

general requirements and procedures in 

this part and 36 CFR part 1223. 

§ 1233.14 What personnel records must be 

transferred to the National Personnel 

Records Center (NPRC)? 

(a) Civilian personnel files: 

(1) General Records Schedules 1 and 

2 specify that certain Federal civilian 

personnel, medical, and pay records 

must be centrally stored at the National 

Personnel Records Center (Civilian 

Personnel Records), 111 Winnebago 

Street, St. Louis, MO 63118. An agency 

must transfer the following four types of 

records to the NPRC: 

(i) Official personnel folders of 

separated Federal civilian employees; 

(ii) Service record cards of employees 

who separated or transferred on or 

before December 31, 1947; 

(iii) Audited individual earnings and 

pay cards and comprehensive payrolls; 

and 

(iv) Employee medical folders of 

separated Federal civilian employees. 

(b) The following types of medical 

treatment records are transferred to the 

NPRC: 

(1) Clinical (hospital inpatient) 

records created for all categories of 

patients receiving inpatient treatment 

and extended ambulatory procedures 

(active duty military personnel, retirees, 

and dependents); and 


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(2) Medical treatment records 

(outpatient) for military retirees, 

dependents, and others treated at 

military health care facilities. 

§ 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 National Personnel 

Records Center 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. Civilian personnel records must 

be retired in Standard Form 66, Official 

Personnel Folder, or Standard Form 

66C, Merged Records Personnel Folder, 

as appropriate. 

(4) Consult the Office of Personnel 

Management Web site (http:// 

www.opm.gov/feddata/html/opf.htm) 

for the OPM publication The Guide to 

Personnel Recordkeeping for procedures 

on the transfer of OPFs and EMFs. (The 

Guide is also available from the 

Superintendent of Documents, U.S. 

Government Printing Office, Mail Stop: 

SSOP, Washington, DC 20402–9328.) 

(b) Military medical records. Please 

contact NPRC staff for information on 

transferring medical records. 

(c) Other guidance. For further 

guidance consult the NPRC Web site 

(http://www.archives.gov/facilities/mo/ 

st_louis.html). 

§ 1233.18 What reference procedures are 

used in NARA Federal Records Centers? 

(a) Agency records transferred to a 

NARA Federal Records Center remain in 

the legal custody of the agency. NARA 

acts as the agency’s agent in maintaining 

the records. NARA will not disclose the 

record except to the agency that 

maintains the record, or under rules 

established by that agency which are 

consistent with existing laws. 

(b) For general reference requests 

agencies may use the Center Information 

Processing System (CIPS), the Optional 

Form 11, Reference Request—Federal 

Records Centers, a form jointly 

designated by that agency and NARA, or 

their electronic equivalents. 

(c) For civilian personnel records, 

agencies must use the following forms: 

(1) Standard Form 127, Request for 

Official Personnel Folder (Separated 

Employee), to request transmission of 

personnel folders of separated 

employees stored at the National 

Personnel Records Center. Additional 

instructions on requesting OPFs are 

available online at http:// 

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

(2) Standard Form 184, Request for 

Employee Medical Folder (Separated 

Employee), to request medical folders 

stored at the National Personnel Records 

Center. Additional instructions on 

requesting EMFs are available online at 

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

civilian-personnel/federalagencies.html. 

(3) Optional Form 11, Reference 

Request— Federal Records Center to 

request medical records transferred to 

other NARA Federal Records Centers 

prior to September 1, 1984. The request 

must include the name and address of 

the agency’s designated medical records 

manager 

(d) For military personnel records 

reference requests, the following forms 

must be used: 

(1) Federal agencies must use 

Standard Form (SF) 180, Request 

Pertaining to Military Records, to obtain 

information from military service 

records in the National Personnel 

Records Center (Military Personnel 

Records); authorized agencies 

requesting the loan of a military 

personnel record may order records 

using eMilrecs (electronic equivalent of 

the SF 180). Additional information is 

available online at: http:// 

www.archives.gov/st-louis/militarypersonnel/agencies/ompf-fedagency.html. 

(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 

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

veterans/evetrecs. 

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

obtain copies of SF 180 by submitting a 

written request to the National 

Personnel Records Center (Military 

Personnel Records), 9700 Page 

Boulevard, St. Louis, MO 63132. OMB 

Control Number 3095–0029 has been 

assigned to the SF 180. 

(e) Federal agencies must use an SF 

180, Request Pertaining to Military 

Records, to obtain information from 

military service records in the National 

Personnel Records Center (Military 

Personnel Records). 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/militarypersonnel/standard-form-180.html#sf. 

(f) For further guidance on requesting 

records from a NARA Federal Records 

Center, consult the NARA Federal 

Records Centers Program Web site 

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

toolkit.html#retrieval), or current NARA 

publications and bulletins by contacting 

the Office of Regional Records Services 

(NR), or individual NARA Federal 

Records Centers (http:// 

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

or the Washington National Records 

Center (NWMW). 

§ 1233.20 How are disposal clearances 

managed for records in NARA Federal 

Records Centers? 

(a) The National Personnel Records 

Center will destroy records covered by 

General Records Schedules 1 and 2 in 

accordance with those schedules 

without further agency clearance. 

(b) NARA Federal Records Centers 

will destroy other eligible Federal 

records only with the written 

concurrence of the agency having legal 

custody of the records. 

(c) NARA Federal Records Centers 

will maintain documentation on the 

final disposition of records, as required 

in 36 CFR 1226.22(c). 

(d) When NARA approves an 

extension of retention period beyond 

the time authorized in the records 

schedule for records stored in NARA 

Federal Records Centers, NARA will 

notify those affected records centers to 

suspend disposal of the records (see 

§ 1226.18). 

(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—

[RESERVED] 

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 this 

part? 

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? 


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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 records, 

cartographic, and related records? 

1235.44 What general transfer 

requirements apply to electronic 

records? 

1235.46 What electronic media may be 

used for transferring records to the 

National Archives of the United States? 

1235.48 What documentation must 

agencies transfer with electronic records? 

1235.50 What specifications and standards 

for transfer apply to electronic records? 

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

Subpart A—General Transfer 

Requirements 

§ 1235.1 What are the authorities for this 

part? 

The statutory authorities for this part 

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

§ 1235.2 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used in part 1235. 

§ 1235.3 What standards are used as 

guidance for this part? 

These regulations conform to 

guidance provided in ISO 15489–

1:2001. Paragraphs 8.3 (Designing and 

implementing records systems), 9.6 

(Storage and handling), and 9.7 (Access) 

are particularly relevant to this part. 

§ 1235.4 What publications are 

incorporated by reference in this part? 

The ANSI and ISO publications cited 

in this section are available from the 

American National Standards Institute 

(ANSI), 25 West 43rd Street, 4th floor, 

New York, NY 10036 or electronically at 

http://www.ansi.org/. The FIPS standard 

cited in this paragraph is available from 

the National Technical Information 

Service, Department of Commerce, 

Springfield, VA 22161. All these 

standards are also available for 

inspection at the Office of the Federal 

Register, 800 North Capitol Street, NW., 

Suite 700, Washington, DC. This 

incorporation by reference was 

approved by the Director of the Federal 

Register in accordance with 5 U.S.C. 

552(a) and 1 CFR part 51. These 

materials are incorporated by reference 

as they exist on the date of approval and 

a notice of any change in these materials 

will be published in the Federal 

Register. 

ANSI X3.39–1986, American National 

Standard: Recorded Magnetic Tape for 

Information Interchange (1600 CPI, PE). 

ANSI X3.54–1986, American National 

Standard: Recorded Magnetic Tape for 

Information Interchange (6250 CPI, 

Group Coded Recording). 

ANSI X3.180–1990, 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. 

ANSI/NISO/ISO 9660–1990, 

American National Standard for Volume 

and File Structure of CD–ROM for 

Information Exchange. 

FIPSPUB 173–1, Spatial Data Transfer 

Standard (SDTS). 

ISO/IEC 10918–1: Information 

Technology—Digital Compression and 

Coding of Continuous-tone Still Images 

(1994). 

ISO/IEC 15307:1997, First edition, 

December 1, 1997, Information 

technology—Data interchange on 12.7 

mm 128-track magnetic tape 

cartridges—DLT 4 format. 

ISO/IEC 15896:1999, First edition, 

December 15, 1999, Information 

technology—Data interchange on 12.7 

mm 208-track magnetic tape 

cartridges—DLT 5 format. 

ISO/IEC 16382:2000, First edition, 

May 15, 2000, Information technology— 

Data interchange on 12.7 mm 208-track 

magnetic tape cartridges—DLT 6 format. 

§ 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 General 

Records Schedule; and, when 

appropriate, records that are accretions 

to holdings (continuations of series 

already accessioned.) 

§ 1235.12 When must agencies transfer 

records to the National Archives of the 

United States? 

Permanent records must be 

transferred to the National Archives of 

the United States when: 

(a) The records are eligible for transfer 

based on the transfer date specified in 

a NARA-approved records schedule, or 

(b) The records have been in existence 

for more than 30 years (see also 

§ 1235.14). 

§ 1235.14 May agencies retain records for 

the conduct of regular agency business 

after they are eligible for transfer? 

(a) Agencies may retain records longer 

than specified on a records disposition 

schedule only with written approval 

from NARA. 

(b) If the agency determines that the 

records are needed for the conduct of 

regular business, the records officer 

must submit to NARA (NWM) a written 

request certifying continuing need. This 

certification must: 

(1) Include a comprehensive 

description and location of records to be 

retained; 

(2) Cite the NARA-approved 

disposition authority; 

(3) Describe the current business for 

which the records are required; 

(4) Estimate the length of time the 

records will be needed (if no date is 

provided by the agency, approved 

certification requests will be effective 

for a maximum of five years); 

(5) Explain why agency needs cannot 

be met by NARA reference services or 

copies of records deposited in the 

National Archives of the United States; 

and 

(6) If records are retained to enable 

routine public reference by the agency 

rather than NARA, cite the statutory 

authority authorizing this agency 

activity. 

§ 1235.16 How will NARA respond to an 

agency’s request to retain records? 

(a) Approval. NARA will provide 

written approval of the request to retain 

the records for the specified period 

within 30 days of receipt of the request. 

(b) Disapproval. NARA will provide 

written disapproval of an agency’s 

request within 30 days. Requests will be 

denied if the agency is retaining the 

records primarily to: 

(1) Provide access services to persons 

outside the agency that can be provided 

by NARA, or 

(2) Function as an agency archives, 

unless specifically authorized by statute 

or by NARA. 


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§ 1235.18 How do agencies transfer 

records to the National Archives of the 

United States? 

Agencies transfer records by 

submitting a signed SF 258, Agreement 

to Transfer Records to the National 

Archives of the United States. Each SF 

258 must correlate to a specific records 

series or other aggregation of records, as 

identified in an item on the SF 115 or 

cited on the SF 258. 

§ 1235.20 How do agencies indicate that 

transferred records contain information that 

is restricted from public access? 

When completing an SF 258, agencies 

must indicate restrictions on the use 

and examination of records and attach 

a written justification. The justification 

must cite the statute or Freedom of 

Information Act exemption (5 U.S.C. 

552(b)), as amended, that authorizes the 

restrictions. 

§ 1235.22 When does legal custody of 

records transfer to NARA? 

Legal custody of records passes from 

the agency to NARA when the 

appropriate NARA official signs the SF 

258 acknowledging receipt of the 

records. 

Subpart B—Administration of 

Transferred Records 

§ 1235.30 How may records in the National 

Archives of the United States be used? 

(a) NARA will enforce restrictions 

that are consistent with the Freedom of 

Information Act (5 U.S.C. 552) for both 

official use of the records by Federal 

agencies and research by the public. 

(b) NARA regulations in Subchapter C 

of this chapter apply to Federal agency 

personnel using transferred records for 

official Government purposes, and to 

the public at large. 

§ 1235.32 How does NARA handle 

restrictions on transferred records? 

(a) For records less than 30 years old. 

Unless required by law, NARA will 

remove or relax restrictions on 

transferred records less than 30 years 

old only with the written concurrence of 

the transferring agency or, if applicable, 

its successor agency. If the transferring 

agency no longer exists, and there is no 

successor, the Archivist may relax, 

remove, or impose restrictions to serve 

the public interest. 

(b) For records more than 30 years 

old. 

(1) After records are more than 30 

years old, most statutory and other 

restrictions on transferred records 

expire. NARA, however, after consulting 

with the transferring agency, may keep 

the restrictions in force for a longer 

period. 

(2) See Part 1256 of this chapter for 

restrictions on specific categories of 

records, including national security 

classified information and information 

that would invade the privacy of an 

individual, that NARA restricts beyond 

30 years. 

§ 1235.34 May NARA destroy transferred 

records? 

NARA will not destroy records 

transferred to NARA’s custody except: 

(a) With the written concurrence of 

the agency or its successor, or 

(b) As authorized on an SF 258. 

Subpart C—Transfer Specifications 

and Standards 

§ 1235.40 What records are covered by 

additional transfer requirements? 

In addition to complying with 

subparts A and B of this part, agencies 

must follow the specifications and 

requirements in this subpart when 

transferring audiovisual, cartographic, 

architectural, and electronic records to 

the National Archives of the United 

States. In general, such records must be 

transferred to the National Archives of 

the United States as soon as they 

become inactive or whenever the agency 

cannot provide proper care and 

handling of the records, including 

adequate storage conditions (see parts 

1236 and 1237 of this chapter). 

§ 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 36 CFR 1237.12(d) 

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 NARA (NWCS) 

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 

the digital image transfer standard 

‘‘Expanding Acceptable Transfer 

Requirements: Transfer Instructions for 

Permanent Electronic Records—

DIGITAL PHOTOGRAPHIC RECORDS’’

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

records-mgmt/initiatives/digital-photorecords.html. See also 36 CFR 

1235.48(e) and 1235.50(e) for transfer 

requirements for digital photographic 

records. 

(e) Sound recordings. 

(1) Disc recordings. 

(i) For compact discs, the origination 

recording regardless of form and two 

compact discs. 

(ii) For analog disc recordings, the 

master tape and two disc pressings of 

each recording, typically a vinyl copy 

for playback at 331⁄3 revolutions per 

minute (rpm). 

(2) For analog audio recordings on 

magnetic tape (open reel, cassette, or 

cartridge), the original tape, or the 

earliest available generation of the 


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recording, and a subsequent generation 

copy for reference. Agencies must 

comply with the requirements in 36 

CFR 1237.12(c) for audio recordings. 

(e) 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 NARA (NWCS) 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. 

(f) 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 

folders containing agency specifications 

for creating the maps. 

(g) 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. 

(h) Architectural and related 

engineering drawings, including: 

(1) Design drawings, preliminary and 

presentation drawings, and models that 

document the evolution of the design of 

a building or structure. 

(2) Master sets of drawings that 

document both the initial design and 

construction and subsequent alterations 

of a building or structure. This category 

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

repair and alteration drawings. 

(3) Drawings of repetitive or standard 

details of one or more buildings or 

structures. 

(4) ‘‘Measured’’ drawings of existing 

buildings and original or photocopies of 

drawings reviewed for approval. 

(5) Related finding aids and 

specifications to be followed. 

(i) Digital geospatial data records. See 

§ 1235.48(c) for transfer requirements 

for digital geospatial data records. 

§ 1235.44 What general transfer 

requirements apply to electronic records? 

(a) Each agency must retain a copy of 

permanent electronic records that it 

transfers to NARA until it receives 

official notification that NARA has 

assumed responsibility for continuing 

preservation of the records. 

(b) When transferring electronic 

records, the agency must consult with 

NARA (NWCS for digital photographs 

and accompanying metadata, NWME for 

other electronic records) for guidance 

when transferring these types of 

electronic records in forms or formats 

other than those prescribed in this 

subpart. 

§ 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 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–

1986, American National Standard: 

Recorded Magnetic Tape for Information 

Interchange (1600 CPI, PE) or ANSI 

X3.54–1986, American National 

Standard: Recorded Magnetic Tape for 

Information Interchange (6250 CPI, 

Group Coded Recording), respectively. 

(2) 18-track 3480-class cartridges must 

be recorded at 37,871 bpi that meet 

ANSI X3.180–1990, 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. The data 

must be blocked at no more than 32,760 

bytes per block. 

(3) DLT tape IV cartridges must be 

recorded in an uncompressed format. 

Agencies interested in transferring 

scheduled electronic records using a 

Tape Archive (TAR) utility must contact 

NARA’s Electronic and Special Media 

Records Services Division (NWME) to 

initiate transfer discussions. 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: 

(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–

1990, American National Standard for 

Volume and File Structure of CD–ROM 

for Information Exchange. 

(2) Permanent electronic records must 

be stored in discrete files. Transferred 

CD–ROMs 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 contains 

temporary records and where those 

records are located on the CD–ROM. 

The agency must also specify whether 

NARA should return the CD–ROM 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 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. 


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(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 NARA (NWME) 

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 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 9660–1990, 

American National Standard for Volume 

and File Structure of CD–ROM for 

Information Exchange. 

(2) Permanent electronic records must 

be transferred in discrete files, separate 

from temporary files. All permanent 

records must be transferred in files that 

contain only permanent records. 

§ 1235.48 What documentation must 

agencies transfer with electronic records? 

(a) General. Agencies must transfer 

documentation adequate to identify, 

service, and interpret the permanent 

electronic records. This documentation 

must include completed NARA Form 

14097, Technical Description for 

Transfer of Electronic Records, and a 

completed NARA Form 14028, 

Information System Description Form, 

or their equivalents. Agencies must 

submit the required documentation 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 spatial data files. Digital 

spatial data files must include the 

documentation specified in paragraph 

(b) of this section. In addition, 

documentation for digital spatial 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). 

(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 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 

(PDF) format; 

(iv) Digital photographic records; and 

(v) Web content records. 

(2) Documentation for electronic 

records in these formats must follow the 

transfer requirements available on the 

NARA Electronic Records Management 

Initiative Web page at http:// 

www.archives.gov/records-mgmt/ 

initiatives/erm-products.html or from 

NARA (NWCS for digital photographs 

and metadata, NWME for other 

electronic records). 

§ 1235.50 What specifications and 

standards for transfer apply to electronic 

records? 

(a) General. 

(1) Agencies must transfer electronic 

records in a format that is independent 

of specific hardware or software. Except 

as specified in paragraphs (c) through 

(e) of this section, the records must be 

written in ASCII or EBCDIC with all 

control characters and other non-data 

characters removed. Agencies must 

consult with NARA (NWME) 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. 

The records must not be in an 

aggregated format (e.g., TAR files). 

(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: 

(1) The Spatial Data Transfer Standard 

(SDTS) as defined in the Federal 

Information Processing Standard 173–1 

(June 10, 1994) that is incorporated by 

reference. Digital geospatial data files 

created on systems procured prior to 

February 1994 which do not have a 

SDTS capability are exempt from this 

requirement. Agencies must consult 

with NARA regarding transfer of 

noncompliant digital geospatial data 

files created after February 1, 1994. 

(2) 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 Generalized 

Markup Language (SGML) tags. 

(e) Electronic mail, scanned images of 

textual records, portable document 

format records, digital photographic 

records, and Web content records. 

Agencies must follow the transfer 

requirements available on the NARA 

Electronic Records Management 

Initiative Web page at http:// 

www.archives.gov/records-mgmt/ 

initiatives/erm-products.html or from 

NARA (NWCS for digital photographs 

and NWME 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 

guidelines 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 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? 


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1236.14 What must agencies do to protect 

records against technological 

obsolescence? 

Subpart C—Additional requirements for 

electronic records 

1236.20 What are appropriate 

recordkeeping systems for electronic 

records? 

1236.22 What are the additional 

requirements for managing electronic 

mail records? 

1236.24 What are the additional 

requirements for managing unstructured 

electronic records? 

1236.26 What actions must agencies take to 

maintain electronic information systems? 

1236.28 What additional requirements 

apply to the selection and maintenance 

of electronic records storage media for 

permanent records? 

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

3105. 

Subpart A—General 

§ 1236.1 What are the authorities for Part 

1236? 

The statutory authority for this part is 

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

OMB Circular A–130, Management of 

Federal Information Resources, applies 

to records and information systems 

containing records. 

§ 1236.2 What definitions apply to this 

part? 

(a) See § 1220.18 of this subchapter 

for definitions of terms used throughout 

subchapter B, including part 1236. 

(b) As used in part 1236—

Electronic information system means 

an information system that contains and 

provides access to computerized Federal 

records and other information. 

Electronic mail system means a 

computer application used to create, 

receive, and transmit messages and 

other documents. Excluded from this 

definition are file transfer utilities 

(software that transmits files between 

users but does not retain any 

transmission data), data systems used to 

collect and process data that have been 

organized into data files or data bases on 

either personal computers or mainframe 

computers, and word processing 

documents not transmitted on an e-mail 

system. 

Electronic record includes both record 

content and associated metadata that the 

agency determines is required to meet 

agency business needs. 

Metadata consists of contextual 

information preserved describing the 

history, tracking, and/or management of 

an electronic document. 

Unstructured electronic records 

means records created using office 

automation applications such as 

electronic mail and other messaging 

applications, word processing, or 

presentation software. 

§ 1236.4 What standards are used as 

guidelines for this part? 

These regulations are in conformance 

with ISO 15489–1:2001. 

§ 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; 

(b) Integrate records management and 

preservation considerations into the 

design, development, enhancement, and 

implementation of electronic 

information systems in accordance with 

subpart B of this part; and 

(c) Appropriately manage electronic 

records in accordance with subpart C of 

this part. 

Subpart B—Records Management and 

Preservation Considerations for 

Designing and Implementing 

Electronic Information Systems 

§ 1236.10 What records management 

controls must agencies establish for 

records in electronic information systems? 

The following types of records 

management controls are needed to 

ensure that Federal records in electronic 

information systems can provide 

adequate and proper documentation of 

agency business for as long as the 

information is needed. Agencies must 

incorporate controls into the electronic 

information system or integrate them 

into a recordkeeping system that is 

external to the information system itself 

(see § 1236.20). 

(a) Reliability: Controls to ensure a 

full and accurate representation of the 

transactions, activities or facts to which 

they attest and can be depended upon 

in the course of subsequent transactions 

or activities; 

(b) Authenticity: Controls to protect 

against unauthorized addition, deletion, 

alteration, use and concealment; 

(c) Integrity: Controls, such as audit 

trails, to ensure records are complete 

and unaltered; 

(d) Usability: Mechanisms to ensure 

records can be located, retrieved, 

presented and interpreted. 

(e) Content: Mechanisms to preserve 

the information contained within the 

record itself that was produced by the 

creator of the record; 

(f) Context: Mechanisms to implement 

cross-references to related records that 

show the organizational, functional and 

operational circumstances about the 

record, which will vary depending upon 

the business, legal and regulatory 

requirements of the business activity; 

and 

(g) Structure: Controls to ensure the 

maintenance of the physical and logical 

format of the records and the 

relationships between the data 

elements. 

§ 1236.12 What other records management 

and preservation considerations must be 

incorporated into the design, development, 

and implementation of electronic 

information systems? 

As part of the agency’s capital 

planning and systems development life 

cycle processes, ensure: 

(a) Records management controls (see 

§ 1236.10) are planned and 

implemented in the system. 

(b) All records in the system will be 

retrievable and usable for as long as 

needed to conduct agency business (i.e., 

for their NARA-approved retention 

period). Where the records will need to 

be retained beyond the planned life of 

the system, agencies must plan and 

budget for the migration of records and 

their associated metadata to new storage 

media or formats in order to avoid loss 

due to media decay or technology 

obsolescence. (See § 1236.14.) 

(c) The transfer of permanent records 

to NARA in accordance with part 1235 

of this subchapter. 

(d) Provision of a standard 

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

when needed to permit the exchange of 

electronic documents between offices 

using different software or operating 

systems. 

§ 1236.14 What must agencies do to 

protect records against technological 

obsolescence? 

Agencies must design and implement 

migration strategies to counteract 

hardware and software dependencies of 

electronic records whenever the records 

must be maintained and used beyond 

the life of the information system in 

which the records are originally created 

or captured. To successfully protect 

records against technological 

obsolescence, agencies must: 

(a) Determine if the NARA-approved 

retention period for the records will be 

longer than the life of the system where 

they are currently stored. If so, plan for 

the migration of the records to a new 

system before the current system is 

retired. 

(b) Carry out upgrades of hardware 

and software in such a way as to retain 

the functionality and integrity of the 

electronic records created in them. 

Retention of record functionality and 

integrity requires: 

(1) Retaining the records in a usable 

format until their authorized disposition 

date. Where migration includes 


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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). 

Subpart C—Additional Requirements 

for Electronic Records 

§ 1236.20 What are appropriate 

recordkeeping systems for electronic 

records? 

(a) General. Agencies must use 

electronic or paper recordkeeping 

systems or a combination of those 

systems, depending on their business 

needs, for managing their records. 

Transitory e-mail may be managed as 

specified in § 1236.22(c). 

(b) Electronic recordkeeping. 

Recordkeeping functionality may be 

built into the electronic information 

system or records can be transferred to 

an electronic recordkeeping repository, 

such as a DoD–5015.2 STD-certified 

product. The following functionalities 

are necessary for electronic 

recordkeeping: 

(1) Declare records. Assign unique 

identifiers to records. 

(2) Capture records. Import records 

from other sources, manually enter 

records into the system, or link records 

to other systems. 

(3) Organize records. Associate with 

an approved records schedule and 

disposition instruction. 

(4) Maintain records security. Prevent 

the unauthorized access, modification, 

or deletion of declared records, and 

ensure that appropriate audit trails are 

in place to track use of the records. 

(5) Manage access and retrieval. 

Establish the appropriate rights for users 

to access the records and facilitate the 

search and retrieval of records. 

(6) Preserve records. Ensure that all 

records in the system are retrievable and 

usable for as long as needed to conduct 

agency business and to meet NARAapproved dispositions. Agencies must 

develop procedures to enable the 

migration of records and their 

associated metadata to new storage 

media or formats in order to avoid loss 

due to media decay or technology 

obsolescence. 

(7) Execute disposition. Identify and 

effect the transfer of permanent records 

to NARA based on approved records 

schedules. Identify and delete 

temporary records that are eligible for 

disposal. Apply records hold or freeze 

on disposition when required. 

(c) Backup systems. System and file 

backup processes and media do not 

provide the appropriate recordkeeping 

functionalities and must not be used as 

the agency electronic recordkeeping 

system. 

§ 1236.22 What are the additional 

requirements for managing electronic mail 

records? 

(a) Agencies must issue instructions 

to staff on the following retention and 

management requirements for electronic 

mail records: 

(1) The names of sender and all 

addressee(s) and date the message was 

sent must be preserved for each 

electronic mail record in order for the 

context of the message to be understood. 

The agency may determine that other 

metadata is needed to meet agency 

business needs, e.g., receipt 

information. 

(2) Attachments to electronic mail 

messages that are an integral part of the 

record must be preserved as part of the 

electronic mail record or linked to the 

electronic mail record with other related 

records. 

(3) If the electronic mail system 

identifies users by codes or nicknames 

or identifies addressees only by the 

name of a distribution list, retain the 

intelligent or full names on directories 

or distribution 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 General Records Schedule 

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). 

(b) Agencies that allow employees to 

send and receive official electronic mail 

messages using a system not operated by 

the agency must ensure that Federal 

records sent or received on such 

systems are preserved in the appropriate 

agency recordkeeping system. 

(c) Agencies may elect to manage 

electronic mail records with very shortterm NARA-approved retention periods 

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

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

NARA-approved agency records 

schedule) on the electronic mail system 

itself, without the need to copy the 

record to a paper or electronic 

recordkeeping system, provided that: 

(1) Users do not delete the messages 

before the expiration of the NARAapproved retention period, and 

(2) The system’s automatic deletion 

rules ensure preservation of the records 

until the expiration of the NARAapproved retention period. 

(d) Except for those electronic mail 

records within the scope of paragraph 

(c) of this section: 

(1) Agencies must not use an 

electronic mail system to store the 

recordkeeping copy of electronic mail 

messages identified as Federal records 

unless that system has all of the features 

specified in § 1236.20(b). 

(2) If the electronic mail system is not 

designed to be a recordkeeping system, 

agencies must instruct staff on how to 

copy Federal records from the electronic 

mail system to a recordkeeping system. 

(e) Agencies that retain permanent 

electronic mail records scheduled for 

transfer to the National Archives must 

either store them in a format and on a 

medium that conforms to the 

requirements concerning transfer at 36 

CFR part 1235 or maintain the ability to 

convert the records to the required 

format and medium at the time transfer 

is scheduled. 

(f) Agencies that maintain paper 

recordkeeping systems must print and 

file their electronic mail records with 

the related transmission and receipt 

data specified by the agency’s electronic 

mail instructions. 

§ 1236.24 What are the additional 

requirements for managing unstructured 

electronic records? 

(a) Agencies that manage unstructured 

electronic records electronically must 

ensure that the records are filed in a 

recordkeeping system that meets the 

requirements in § 1236.10(b). 

(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. 

§ 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, 


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standards, and policies as part of the 

periodic reviews required by 44 U.S.C. 

3506. The review should determine if 

the records have been properly 

identified and described, and if the 

schedule descriptions and retention 

periods reflect the current informational 

content and use. If not, agencies must 

submit an SF 115, Request for Records 

Disposition Authority, to NARA. 

(b) Agencies must maintain up-to-date 

documentation about electronic 

information systems that is adequate to: 

(1) Specify all technical 

characteristics necessary for reading and 

processing the records contained in the 

system; 

(2) Identify all inputs and outputs; 

(3) Define the contents of the files and 

records; 

(4) Determine restrictions on access 

and use; 

(5) Understand the purpose(s) and 

function(s) of the system; 

(6) Describe update cycles or 

conditions and rules for adding, 

changing, or deleting information in the 

system; and 

(7) Ensure the timely, authorized 

disposition of the records. 

§ 1236.28 What additional requirements 

apply to the selection and maintenance of 

electronic records storage media for 

permanent records? 

(a) Agencies must maintain the 

storage and test areas for electronic 

records storage media containing 

permanent and unscheduled records 

within the following temperature and 

relative humidity ranges: 

Temperature—62 ° to 68 °F. 

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 the maintenance and storage of 

CDs and DVDS, see 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. 

(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) Agencies must copy permanent or 

unscheduled data on electronic records 

storage media before the media are 10 

years old 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 this 

part? 

1237.3 What definitions apply to this part? 

1237.4 What standards are incorporated by 

reference for 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 additional scheduling 

requirements for audiovisual, 

cartographic, and related records? 

1237.16 How do agencies store audiovisual 

records? 

1237.18 What are the environmental 

standards for audiovisual records 

storage? 

1237.20 What are special considerations in 

the maintenance of audiovisual records? 

1237.22 What are special considerations in 

the storage and maintenance of 

cartographic and related records? 

1237.24 What are the special considerations 

for storage and maintenance of aerial 

photographic records? 

1237.26 What materials and processes must 

agencies use to create audiovisual 

records? 

1237.28 What special concerns apply to 

digital photographs? 

1237.30 How do agencies manage records 

on nitrocellulose-base and celluloseacetate base film? 

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

§ 1237.1 What is the applicability and 

scope of this part? 

Agencies must manage audiovisual, 

cartographic, and related records in 

accordance with parts 1220–1235. This 

part prescribes additional policies and 

procedures for managing audiovisual, 

cartographic, and related records to 

ensure adequate and proper 

documentation and authorized, timely, 

and appropriate disposition. 

§ 1237.2 What are the authorities for this 

part? 

The authorities for this part are 44 

U.S.C. 2904 and 3101. 

§ 1237.3 What definitions apply to this 

part? 

(a) See § 1220.18 of this subchapter 

for definitions of terms used throughout 

subchapter B, including part 1237. 

(b) As used in part 1237—

Aerial photographic records means 

film-based images of the surface of the 

earth, of other planetary bodies, or of 

the atmosphere that have been taken 

from airborne vehicles or satellites. 

They include vertical and oblique aerial 

negative film taken from conventional 

aircraft as well as copy negatives, 

internegatives, rectified negatives, and 

annotated and other prints from these 

negatives. Also included are infrared, 

ultraviolet, multispectral, video, and 

radar imagery that has been converted to 

a film base. These records also include 

the relevant index system in whatever 

form it may exist such as mosaics, 

flight-line overlays or annotated maps, 

or electronic data bases capturing the 

latitude and longitude (or other 

coordinate-based location data) of 

individual aerial photographic center 

points. 

Architectural and engineering records 

means graphic records that depict the 

proposed and actual construction of 

stationary structures, such as buildings, 

bridges, and canals as well as movable 

objects, such as ships, aircraft, vehicles, 

weapons, machinery, and equipment. 

These records are also known as design 

and construction drawings and include 

closely related indexes and written 

specifications. 

Audiovisual means any pictorial or 

aural means of communicating 

information, e.g., photographic prints, 

negatives, slides, digital images, sound 

recordings, and moving images. 

Audiovisual equipment means 

equipment used for recording, 

producing, duplicating, processing, 

broadcasting, distributing, storing, or 

exhibiting audiovisual materials or for 

providing any audiovisual services. 

Audiovisual production means an 

organized and unified presentation, 

developed according to a plan or script, 

containing visual imagery, sound, or 

both, and used to convey information. 

An audiovisual production generally is 

a self-contained presentation. 

Audiovisual records means records in 

pictorial or aural form, including still 

photographs and motion media (i.e. 


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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, atlases, cartograms, 

globes, and relief models. Related 

records are those that are integral to the 

map-making process, such as field 

survey notes, geodetic controls, map 

history case files, source material, 

indexes, and finding aids. 

§ 1237.4 What standards are incorporated 

by reference for this part? 

(a) The following publications cited in 

this section are hereby incorporated by 

reference into this part 1237. They are 

available from the issuing organizations 

at the addresses listed in this section. 

These standards are also available for 

inspection at the Office of the Federal 

Register, 800 North Capitol Street, NW., 

suite 700, Washington, DC. This 

incorporation by reference was 

approved by the Director of the Federal 

Register in accordance with 5 U.S.C. 

552(a) and 1 CFR part 51. These 

materials are incorporated by reference 

as they exist on the date of approval and 

a notice of any change in these materials 

will be published in the Federal 

Register. 

(b) The following International (ISO) 

and American National Standards 

Institute (ANSI) standards are available 

from ANSI, 25 West 43rd Street, Fourth 

Floor, New York, NY 10036 or online at 

http://www.ansi.org: 

ISO 2859–1: 1996, Sampling Procedures 

for Inspection by Attributes—Part 1: 

Sampling Plans Indexed by 

Acceptable Quality Level (AQL) for 

Lot-by-Lot Inspection 

ISO 18901: 2002, Imaging Materials—

Processed Silver-Gelatin Type Blackand-White Films—Specifications for 

Stability 

ISO 18902: 2001, Imaging Materials—

Processed Photographic Films, Plates, 

and Papers—Filing Enclosures and 

Storage Containers 

ISO 18906: 2000, Imaging Materials—

Photographic Films—Specifications 

for Safety Film 

ISO 18911: 2000, Imaging Materials—

Processed Safety Photographic 

Films—Storage Practices 

ISO 18918: 2000, Imaging Materials—

Processed Photographic Plates—

Storage Practices 

ISO 18920: 2000, Imaging Materials—

Processed Photographic Reflection 

Prints—Storage Practices 

ISO 18923: 2000, Imaging Materials—

Polyester-Base Magnetic Tape—

Storage Practices 

ISO 18925: 2002, Imaging Materials—

Optical Disc Media—Storage Practices 

ANSI/NAPM IT9.11–1993, Imaging 

Media—Processed Safety 

Photographic Films—Storage 

ANSI/AIIM TR34:1996, Sampling 

Procedures for Inspection by 

Attributes of Images in Electronic 

Image Management and Micrographic 

Systems 

(c) The following NFPA standard is 

available from the National Fire 

Protection Association, 1 Batterymarch 

Park, P.O. Box 9109, Quincy, MA 

02269–9101, or on-line at http:// 

catalog.nfpa.org: 

NFPA 40–2007, Standard for the Storage 

and Handling of Cellulose Nitrate 

Film 

§ 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 and 

1224. In addition, agencies must: 

(a) Prescribe the types of audiovisual, 

cartographic and related records to be 

created and maintained. (See § 1235.42 

for requirements for permanent 

audiovisual records.) 

(b) Create and maintain current 

inventories showing the location of all 

generations of audiovisual records and 

all cartographic, and related records, 

especially those not maintained 

centrally by the agency. 

§ 1237.12 What record elements must be 

created and preserved for permanent 

audiovisual records? 

For permanent audiovisual records, 

the following record elements must be 

created or acquired and preserved for 

transfer into the National Archives of 

the United States. (See § 1235.52 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) 

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 database 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 database with a clear 

correlation to the relevant image; and a 

duplicate negative, or slide, or 

transparency. 

(3) For slide sets, the original and a 

reference set, and the related audio 

recording and script. 

(4) For other pictorial records such as 

posters, original art work, and 

filmstrips, the original and a reference 

copy. 

(d) Digital photographic records. See 

§ 1237.28 for requirements for digital 

photographs. 

(e) Sound recordings. 

(1) Disc recordings: 

(i) For compact discs, the origination 

recording regardless of form and two 

compact discs. 

(ii) For analog disc recordings, the 

master tape and two disc pressings of 

each recording, typically a vinyl copy 

for playback at 331⁄3 revolutions per 

minute (rpm). 

(2) For analog audio recordings on 

magnetic tape (open reel, cassette, or 

cartridge), the original tape, or the 

earliest available generation of the 

recording, and a subsequent generation 

copy for reference. 

(f) Finding aids and production 

documentation. 

(1) Existing finding aids such as data 

sheets, shot lists, continuities, review 


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sheets, catalogs, indexes, list of 

captions, and other documentation that 

identifies the records. 

(2) Production case files or similar 

files that include copies of production 

contracts, scripts, transcripts, and 

appropriate documentation bearing on 

the origin, acquisition, release, and 

ownership of the production. 

§ 1237.14 What are the additional 

scheduling requirements for audiovisual, 

cartographic, and related records? 

The disposition instructions must also 

provide that permanent records be 

transferred to National Archives of the 

United States within 5–10 years after 

creation (see also 36 CFR part 1235) See 

§ 1235.42 for specifications and 

standards for transfer to National 

Archives of the United States of 

audiovisual, cartographic, and related 

records. 

§ 1237.16 How do agencies store 

audiovisual records? 

Agencies must maintain appropriate 

storage conditions for permanent, longterm temporary, or unscheduled 

audiovisual records: 

(a) Ensure that audiovisual records 

storage facilities comply with 36 CFR 

part 1234. 

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

records, use audiovisual storage 

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

products and other safe materials 

recommended in ISO 18902: 2001, 

Imaging Materials—Processed 

Photographic Films, Plates, and 

Papers—Filing Enclosures and Storage 

Containers; and ISO 18911: 2000, 

Imaging Materials—Processed Safety 

Photographic Films—Storage Practices; 

(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., poster series 

separately from other kinds of agency 

publications, or photographic series 

separately from general reference files). 

Retain intellectual control through 

finding aids, annotations, or other 

descriptive mechanisms; 

(d) Store series of permanent and 

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

are not interspersed among paper 

records (case files), in accordance with 

§ 1238.20. Store series of temporary xray films under conditions that will 

ensure their preservation for their full 

retention period, in accordance with 

ANSI/NAPM IT9.11–1993, Imaging 

Media—Processed Safety Photographic 

Films—Storage; 

(e) Store posters and similar graphic 

works in oversize formats, in map cases, 

hanging files, or other enclosures that 

are sufficiently large or flexible to 

accommodate the records without 

rolling, folding, bending, or other ways 

that compromise image integrity and 

stability; and 

(f) Store optical disks in individual 

containers and use felt-tip, water-based 

markers for disk labeling. 

§ 1237.18 What are the environmental 

standards for audiovisual records storage? 

(a) Photographic film and prints. The 

requirements in this paragraph apply to 

permanent, long-term temporary, and 

unscheduled audiovisual records. 

(1) General guidance. Keep all film in 

cold storage following guidance by the 

International Organization for 

Standardization (ISO) 18911: 2000, 

Imaging Materials—Processed Safety 

Photographic Films—Storage Practices. 

See also ISO 18920: 2000, Imaging 

Materials—Processed Photographic 

Reflection Prints—Storage Practices; 

and ISO 18918: 2000, Imaging 

Materials—Processed Photographic 

Plates—Storage Practices. 

(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: 2000, 

Imaging Materials—Polyester-Base 

Magnetic Tape—Storage Practices; and 

the coverage of 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: 2002, Imaging Materials—

Optical Disc Media—Storage Practices. 

§ 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 

captioning standards, procedures, and 

responsibilities. 

(e) Maintain current and accessible 

documentation identifying creators of 

audiovisual products, their precise 

relationship to the agency, and the 

nature and status of copyright or other 

rights affecting the present and future 

use of items acquired from sources 

outside the agency. (See § 1222.30 for 

requirements to ensure agency 

ownership of appropriate contractor 

produced records.) 

(f) Create unique identifiers for all 

audiovisual records (e.g., for digital 

files, use file naming conventions), that 

clarify connections between related 

elements (e.g., photographic prints and 

negatives, or original edited masters and 

dubbing for video and audio 

recordings), and that associate records 

with the relevant creating, sponsoring, 

or requesting offices. 

(g) Maintain temporary and 

permanent audiovisual records 

separately. 

(h) Require that personnel wear white 

lint-free cotton (or other approved) 

gloves when handling film. 

§ 1237.22 What are special considerations 

in the storage and maintenance of 

cartographic and related records? 

Agencies must: 

(a) Maintain permanent and 

unscheduled cartographic, architectural, 

and engineering records in an 

environment that does not exceed 70 

degrees Fahrenheit and with relative 

humidity under 50%. 

(b) Create an identification scheme for 

each series and assign unique 

identification designations to each item 

within a series. 

(c) Maintain lists or indexes for each 

series with cross-references to related 

textual records. 

(d) Avoid interfiling separate series of 

maps, charts, or drawings, and file 

permanent cartographic and 

architectural records separately from 

temporary series unless hand-corrected 

versions have been systematically filed 

with other published maps in a central 

or master file. 

(e) Avoid rolling and folding maps 

and drawings. Store permanent maps 

and drawings flat in shallow drawer 

map cases in acid-free folders. 


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(f) Do not laminate original oversize 

records. Consult NARA (NWT) for 

preservation, storage, and treatment 

options. 

§ 1237.24 What are special considerations 

for storage and maintenance of aerial 

photographic records? 

(a) Mark each aerial film container 

with a unique identification code to 

facilitate identification and filing. 

(b) Mark aerial film indexes with the 

unique aerial film identification codes 

or container codes for the aerial film 

that they index. Also, file and mark the 

aerial indexes in such a way that they 

can easily be retrieved by area covered. 

§ 1237.26 What materials and processes 

must agencies use to create audiovisual 

records? 

Agencies must: 

(a) For picture negatives and motion 

picture preprints (negatives, masters, 

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

records, use polyester base media and 

process in accordance with industry 

standards as specified in ISO 18906: 

2000—Imaging Materials—Photographic 

Films—Specifications for Safety Film, 

and ISO 18901: 2002—Imaging 

Materials—Processed Silver-Gelatin 

Type Black-and-White Films—

Specifications for Stability. 

(1) Ensure that residual sodium 

thiosulfate (hypo) on newly processed 

black-and-white photographic film does 

not exceed 0.014 grams per square 

meter. 

(2) Require laboratories to process 

film in accordance with this standard. 

Process color film in accordance with 

the manufacturer’s recommendations. 

(3) If using reversal type processing, 

require full photographic reversal; i.e., 

develop, bleach, expose, develop, fix, 

and wash. 

(b) Avoid using motion pictures in a 

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

matched reels designed to be printed 

together) for the reproduction of 

excerpts or stock footage. 

(c) Use only industrial or professional 

video and audio recording equipment, 

new and previously unrecorded 

magnetic tape stock and blank optical 

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

copies of permanent, long-term 

temporary, or unscheduled recordings. 

Limit the use of consumer formats to 

distribution or reference copies or to 

subjects scheduled for destruction. 

Avoid using videocassettes in the VHS 

format for use as originals of permanent 

or unscheduled records. 

(d) Record permanent, long-term 

temporary, or unscheduled audio 

recordings on optical media from major 

manufacturers. Avoid using cassettes, as 

originals for permanent records or 

unscheduled records (although they 

may be used as reference copies). 

(e) For born-digital or scanned digital 

images that are scheduled as permanent 

or unscheduled, a record (or master) 

version of each image must be 

comparable in quality to a 35 mm film 

photograph or better, and must be saved 

in Tagged Image File Format (TIFF) or 

JPEG File Interchange Format (JFIF, 

JPEG). For more detailed requirements 

on image format and resolution, see 

§ 1235.48(e) of this chapter. For 

temporary digital photographs, agencies 

select formats that they deem most 

suitable for fulfillment of business 

needs. 

§ 1237.28 What special concerns apply to 

digital photographs? 

Digital photographs, either originating 

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

scanned from photographic prints, 

slides, and negatives, are subject to the 

provisions of this part and the 

requirements of 36 CFR part 1236, and 

NARA guidance for digital photographs 

located on the following NARA Web 

page—http://www.archives.gov/recordsmgmt/initiatives/digital-photorecords.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 records 

schedule. 

(b) Select image management software 

and hardware tools that will meet longterm archival requirements, including 

transfer to the National Archives of the 

United States, as well as business needs. 

Additional information and assistance is 

available from NARA (NWM). 

(c) When developing digital image 

storage strategies, build redundancy into 

storage systems, backing up image files 

through on-line approaches, off-line, or 

combinations thereof. (See also 

electronic storage requirements in 

§ 1236.28 of this chapter). 

(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 American 

National Standards Institute (ANSI)/ 

Association of Information and Image 

Management (AIIM) TR34:1996—

Sampling Procedures for Inspection by 

Attributes of Images in Electronic Image 

Management and Micrographic Systems. 

(See also ISO 2859–1: 1996—Sampling 

Procedures for Inspection by 

Attributes—Part 1: Sampling Plans 

Indexed by Acceptable Quality Level 

(AQL) for Lot-by-Lot Inspection.) 

(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 for 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. 


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§ 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. 35 mm motion picture 

film and large series of still pictures) 

from records storage areas. 

(2) Notify NARA (NWM) 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 guidance in 

NFPA 40–2007, Standard for the Storage 

and Handling of Cellulose Nitrate Film. 

(3) Follow the packing and shipping 

of nitrate film as specified in 

Department of Transportation 

regulations (49 CFR 172.101, Hazardous 

materials table; 172.504, Transportation; 

173.24, Standard requirements for all 

packages; and 173.177, Motion picture 

film and X-ray film—nitrocellulose 

base). 

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

odor, wrinkling, or the presence of 

crystalline deposits on the edge or 

surface of the film that indicate 

deterioration. Agencies must notify 

NARA (NWM) 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 this 

part? 

1238.3 What definitions apply to this part? 

1238.4 What standards are used for 

guidance for this part? 

1238.5 What publications are incorporated 

by reference? 

Subpart B—Standards for Microfilming 

Records 

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 NARA approval 

for the disposition of all microform and 

source records? 

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

Subpart A—General 

§ 1238.1 What is the scope of this part? 

This part covers the standards and 

procedures for using micrographic 

technology in the management of 

Federal records. 

§ 1238.2 What are the authorities for this 

part? 

The statutory authorities for this part 

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

§ 1238. 3 What definitions apply to this 

part? 

See § 1220.18 of this subchapter for 

definitions of terms used in part 1238. 

§ 1238. 4 What standards are used for 

guidance for this part? 

These regulations conform to 

guidance provided in ISO15489–1:2001, 

part 7.1 (Principles of records 

management programmes), and 9.6 

(storage and handling). 

§ 1238.5 What publications are 

incorporated by reference? 

(a) The following publications cited in 

this part are hereby incorporated by 

reference into this part 1238. This 

incorporation by reference was 

approved by the Director of the Federal 

Register in accordance with 5 U.S.C 

552(a) and 1 CFR Part 51. These 

materials are incorporated as they exist 

on the date of approval, and a notice of 

change in these materials will be 

published in the Federal Register. 

(b) The publications incorporated by 

reference listed in this section are 

available from the issuing organization. 

They may also be examined at the Office 

of the Federal Register, 800 North 

Capitol Street, NW., Suite 700, 

Washington, DC 20408. 

(c) American National Standards 

Institute (ANSI) and International 

Organization for Standards (ISO) 

standards. ANSI and ISO standards 

cited in this part are available from the 

American National Standards Institute, 

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

NY 10036. The standards can be ordered 

online at http://webstore.ansi.org/ 

ansidocstore/default.asp. 

ANSI/ISO 5.2–1991, ANSI/NAPM 

IT2.19–1994, February 20, 1995, 

American National Standard for 

Photography-Density Measurements—

Part 2: Geometric Conditions for 

Transmission Density. 

ANSI/ISO 5.3–1995, ANSI/NAPM 

IT2.18–1996, March 8, 1996, American 

National Standard for PhotographyDensity Measurements—Part 3: Spectral 

Conditions. 

ISO 18901:2002, Imaging materials—

Processed silver-gelatin type black-andwhite films—Specifications for stability. 

ISO 18902:2001, Imaging materials—

Processed photographic films, plates, 

and paper—Filing enclosures and 

storage containers. 

ISO 18911: 2000(E), First edition, 

November 1, 2000, Imaging materials—

Processed safety photographic films—

Storage practices. 

(d) Enterprise Content Management 

Association (AIIM) Standards. You may 

obtain the following standards from the 

Enterprise Content Management 

Association, 1100 Wayne Avenue, Suite 

1100, Silver Spring, MD 20910. The 

standards can be ordered online at 

http://www.aiim.org/. 

ANSI/AIIM MS1–1996, August 8, 

1996, Standard Recommended Practice 

for Alphanumeric Computer-Output 

Microforms-Operational Practices for 

Inspection and Quality Control. 

ANSI/AIIM MS5–1992, December 21, 

1992, Standard for Information and 

Image Management-Microfiche. 

ANSI/AIIM MS14–1996, August 8, 

1996, Standard Recommended PracticeSpecifications for 16mm and 35mm Roll 

Microfilm. 

ANSI/AIIM MS19–1993, August 18, 

1993, Standard Recommended PracticeIdentification of Microforms. 

ANSI/AIIM MS23–1998, June 2, 1998, 

Standard Recommended PracticeProduction, Inspection, and Quality 

Assurance of First-Generation, Silver 

Microforms of Documents. 

ANSI/AIIM MS32–1996, February 16, 

1996, Standard Recommended PracticeMicrorecording of Engineering Source 

Documents on 35mm Microfilm. 


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ANSI/AIIM MS41–1996, July 16, 

1996, Dimensions of Unitized Microfilm 

Carriers and Apertures (Aperture, 

Camera, Copy and Image Cards). 

ANSI/AIIM MS43–1998, June 2, 1998, 

Standard Recommended Practice—

Operational Procedures—Inspection and 

Quality Control of Duplicate Microforms 

of Documents and From COM. 

ANSI/AIIM MS45–1990, January 22, 

1990, Recommended Practice for 

Inspection of Stored Silver-Gelatin 

Microforms for Evidence of 

Deterioration. 

ANSI/ISO 3334–1991, ANSI/AIIM 

MS51–1991, May 10, 1991, 

Micrographics—ISO Resolution Test 

Chart No. 2—Description and Use. 

Subpart B—Standards for Microfilming 

Records 

§ 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 MS14–1996 

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 MS23–1998 

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 MS32–1996, Table 1 must 

be used, and the aperture card format 

‘‘D Aperture’’ shown in ANSI/AIIM 

MS41–1996, Figure 1, must be used. 

The components of the aperture card, 

including the paper and adhesive, must 

conform to the requirements of ANSI/ 

PIMA IT9.2–1998. The 35mm film used 

in the aperture card application must 

conform to film designated as LE 500 in 

ISO 18901:2001. 

(2) COM. Microfilm created using 

computer output microfilm (COM) 

technology must use the simplex mode 

described in ANSI/AIIM MS14–1996 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–

1992 (R1998) must be used as specified 

for the size and quality of the 

documents being filmed. Use ANSI/ 

AIIM MS23–1998 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. 

§ 1238.12 What documentation is required 

for microfilmed records? 

Agencies must ensure that the 

microforms capture all information 

contained on the source documents and 

that they can be used for the purposes 

the source documents served. 

Microform records must be labeled and 

organized to support easy retrieval and 

use. Agencies must: 

(a) Arrange, describe, and index the 

filmed records to permit retrieval of any 

particular document or component of 

the records. 

(b) Title each microform roll or fiche 

with a titling target or header. For fiche, 

place the titling information in the first 

frame if the information will not fit on 

the header. At a minimum, titling 

information must include: 

(1) The title of the records; 

(2) The number or identifier for each 

unit of microform; 

(3) The security classification, if any; 

and 

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

or other data identifying the records to 

be included on a unit of microform. 

(c) Add an identification target 

showing the date of microfilming. When 

necessary to give the microform copy 

legal standing, the target must also 

identify the person who authorized the 

microfilming. Use ANSI/AIIM MS19–

1993 for standards for identification 

targets. 

§ 1238.14 What are the microfilming 

requirements for permanent and 

unscheduled records? 

(a) Agencies must apply the standards 

in this section when microfilming: 

(1) Permanent paper records where 

the original paper record will be 

destroyed (only after authorization from 

NARA); 

(2) Unscheduled paper records where 

the original paper record will be 

destroyed; and (only after authorization 

from NARA); 

(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 18901:2001 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 18901:2001 and use the 

processing procedures in ANSI/AIIM 

MS1–1996 and ANSI/AIIM MS23–1998. 

(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 MS23–1998 

and ANSI/AIIM MS43–1998. Agencies 

must perform resolution tests using an 

ISO 3334–1991 Resolution Test Chart or 

a commercially available certifiable 

target manufactured to comply with this 

standard, and read the patterns 

following the instructions of ISO 3334–

1991. 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 MS1–1996. 

(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 MS23–1998. The 

densitometer must meet with ANSI/ 

NAPM IT2.18–1996, for spectral 

conditions and ANSI/NAPM IT2.19–

1994, for geometric conditions for 

transmission density. 

(i) Recommended visual diffuse 

transmission background densities for 

images of documents are as follows: 


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Classification Description of document Background 

density 

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

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

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

page.

1.0–1.2 

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

ribbon; and poorly printed, faint documents.

0.8–1.0 

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

(ii) Recommended visual diffuse 

transmission densities for computer 

generated images are as follows: 

Film type Process Density measurement 

method Min. Dmax 1 Max. Dmin 1 Minimum density difference 

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

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

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

density. 

(3) Base plus fog density of 

microfilms. The base plus fog density of 

unexposed, processed microfilms must 

not exceed 0.10. When a tinted base film 

is used, the density will be increased. 

The difference must be added to the 

values given in the tables in paragraph 

(e)(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 

tend to fill in as a function of their 

width and density. Therefore, as the 

reduction ratio of a given system is 

increased, reduce the background 

density as needed to ensure that the 

copies will be legible. 

§ 1238.16 What are the microfilming 

requirements for temporary records, 

duplicates, and user copies? 

(a) Temporary records with a 

retention period over 99 years. Agencies 

must use the microfilming requirements 

in § 1238.14. 

(b) Temporary records to be kept for 

less than 99 years, duplicates, and user 

copies. NARA does not require the use 

of specific standards for these 

microforms. Agencies may select a film 

stock that meets their needs and ensures 

the preservation of the microforms for 

their full retention period. NARA 

recommends that agencies consult 

appropriate standards, available as 

noted in § 1238.3, and manufacturer’s 

instructions for processing production, 

and maintenance of microform to ensure 

that the images are accessible and 

usable for the entire retention period of 

the records. 

Subpart C—Storage, Use, and 

Disposition of Microform Records 

§ 1238.20 How must microform records be 

stored? 

(a) Permanent and unscheduled 

records. Agencies must store permanent 

and unscheduled microform records 

under the extended term storage 

conditions specified in ISO 18911:2000 

and ANSI/PIMA IT9.2–1998, 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. Agencies may consult 

Life Expectance (LE) guidelines in 

ANSI/AIIM standards (see § 1238.3 for 

availability) for measures that can be 

used to meet retention requirements. 

§ 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 microforms 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 MS45–1990. 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 MS45–1990; 

(2) A rereading of resolution targets; 

(3) A re-measurement of density; and 

(4) A certification of the 

environmental conditions under which 

the microforms are stored, as specified 

in § 1238.20(a). 

(e) The agency must prepare an 

inspection report, and send a copy to 

NARA in accordance with § 1238.28(c). 

The inspection report must contain: 

(1) A summary of the inspection 

findings, including: 

(i) A list of batches by year that 

includes the identification numbers of 

microfilm rolls and microfiche in each 

batch; 

(ii) The quantity of microforms 

inspected; 

(iii) An assessment of the overall 

condition of the microforms; 

(iv) A summary of any defects 

discovered, e.g., redox blemishes or base 

deformation; and 

(v) A summary of corrective actions 

taken. 

(2) A detailed inspection log created 

during the inspection that contains the 

following information: 


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(i) A complete description of all 

records inspected (title; roll or fiche 

number or other unique identifier for 

each unit of film inspected; security 

classification, if any; and inclusive 

dates, names, or other data identifying 

the records on the unit of film); 

(ii) The date of inspection; 

(iii) The elements of inspection (see 

paragraph (d) of this section); 

(iv) Any defects uncovered; and 

(v) The corrective action taken. 

(f) If an inspection finds that a master 

microform is deteriorating, the agency 

must make a silver duplicate in 

accordance with § 1238.14 to replace the 

deteriorating master. The duplicate 

microform must meet inspection 

requirements (see § 1238.22) before it 

may be transferred to a record center or 

NARA. 

(g) Inspections must be conducted in 

environmentally controlled areas in 

accordance with ANSI/AIIM MS45–

1990. 

§ 1238.24 What are NARA inspection 

requirements for temporary microform 

records? 

NARA recommends, but does not 

require, that agencies use the inspection 

procedures described in § 1238.22(a). 

§ 1238.26 What are the restrictions on use 

for permanent and unscheduled microform 

records? 

(a) Agencies must not use the silver 

gelatin master microform or duplicate 

silver gelatin microform of permanent or 

unscheduled records created in 

accordance with § 1238.14 of this part 

for reference purposes. Agencies must 

ensure that the master microform 

remains clean and undamaged during 

the process of making a duplicating 

master. 

(b) Agencies must use duplicates for: 

(1) Reference; 

(2) Further duplication on a recurring 

basis; 

(3) Large-scale duplication; and 

(4) Distribution of records on 

microform. 

(c) Agencies retaining the original 

record in accordance with an approved 

records disposition schedule may apply 

agency standards for the use of 

microform records. 

§ 1238.28 What must agencies do when 

sending permanent microform records to a 

records storage facility? 

Agencies must: 

(a) Follow the procedures in part 1232 

of this chapter and the additional 

requirements in this section. 

(b) Package non-silver copies 

separately from the silver gelatin 

original or silver duplicate microform 

copy and clearly label them as nonsilver copies. 

(c) Include the following information 

on the transmittal (SF 135 for NARA 

Federal Records Centers), or in an 

attachment to the transmittal. For 

records sent to an agency records center 

or commercial records storage facility, 

submit this information to NARA as part 

of the documentation required by 

§ 1232.14 of this chapter: 

(1) Name of the agency and program 

component; 

(2) The title of the records and the 

media and format used; 

(3) The number or identifier for each 

unit of microform; 

(4) The security classification, if any; 

(5) The inclusive dates, names, or 

other data identifying the records to be 

included on a unit of microform; 

(6) Finding aids that are not contained 

in the microform; and 

(7) The inspection log forms and 

inspection reports required by 

§ 1238.22(e). 

(d) Agencies may transfer permanent 

microform records to a records storage 

facility meeting the storage 

requirements in § 1232.14(a) (see 

§ 1233.10 of this chapter for NARA 

Federal Records Centers) only after the 

first inspection or with certification that 

the microforms will be inspected by the 

agency, a contractor, or a NARA Federal 

Records Center (on a reimbursable basis) 

when the microforms become 2 years 

old. 

§ 1238.30 What must agencies do when 

transferring permanent microform records 

to the National Archives of the United 

States? 

Agencies must: 

(a) Follow the procedures in part 1235 

of this chapter and the additional 

requirements in this section. 

(b) If the records are not in a NARA 

Federal Records Center, submit the 

information specified in § 1232.14(c). 

(c) Transfer the silver gelatin original 

(or duplicate silver gelatin microform 

created in accordance with § 1238.14) 

plus one microform copy. 

(d) Ensure that the inspections of the 

microforms are up to date. NARA will 

not accession permanent microform 

records until the first inspection has 

been performed (when the microforms 

are 2 years old). 

(e) Package non-silver copies 

separately from the silver gelatin 

original or silver duplicate microform 

copy, and clearly label them as nonsilver copies. 

§ 1238.32 Do agencies need to request 

NARA approval for the disposition of all 

microform and source records? 

(a) Permanent or unscheduled 

records. Agencies must schedule both 

source documents (originals) and 

microforms. NARA must approve the 

schedule, SF 115, Request for Records 

Disposition Authority; in accordance 

with part 1225 of this chapter before any 

records, including source documents, 

may be destroyed. 

(1) Agencies that comply with the 

standards in § 1238.14 must include on 

the SF 115 the following certification: 

‘‘This certifies that the records 

described on this form were (or will be) 

microfilmed in accordance with the 

standards set forth in 36 CFR part 

1238.’’

(2) Agencies using microfilming 

methods, materials, and procedures that 

do not meet the standards in 

§ 1238.14(a) must include on the SF 115 

a description of the system and 

standards used. 

(3) When an agency intends to retain 

the silver original microforms of 

permanent records and destroy the 

original records, the agency must certify 

in writing on the SF 115 that the 

microform will be stored in compliance 

with the standards of § 1238.20 and 

inspected as required by § 1238.22. 

(b) Temporary records. Agencies do 

not need to obtain additional NARA 

approval when destroying scheduled 

temporary records that have been 

microfilmed. The same approved 

retention period for temporary records 

is applied to microform copies of these 

records. The original records can be 

destroyed once microfilm is verified, 

unless legal or other requirements 

prevent their early destruction. 

PART 1239—PROGRAM ASSISTANCE 

AND INSPECTIONS 

Subpart A—General 

Sec. 

1239.1 What is the scope of this part? 

1239.2 What are the authorities for this 

part? 

1239.3 What definitions apply to this part? 

1239.4 What standards are used as 

guidelines 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. 


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Subpart A—General 

§ 1239.1 What is the scope of this part? 

NARA’s statutory authorities include 

assisting agencies in carrying out their 

records management responsibilities 

and, when necessary, inspecting agency 

programs and reporting to Congress on 

those inspections. Part 1239 identifies 

the types of records management 

guidance and program assistance NARA 

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

chapter 29 mandate; the conditions 

under which NARA will invoke its 

inspection authority, also under chapter 

29; and the requirements for agencies to 

cooperate fully in such inspections. 

§ 1239.2 What are the authorities for this 

part? 

The authorities for this part are 44 

U.S.C. 2904 and 2906. 

§ 1239.3 What definitions apply to this 

part? 

(a) See § 1220.18 of this subchapter 

for definitions of terms used in Part 

1239. 

(b) As used in Part 1239—

Inspection means a formal review and 

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

and 2906(a) of an agency’s 

recordkeeping processes that focus on 

significant records management 

problems affecting records at risk that 

meet one or more of the following 

criteria: 

(1) Have a direct and high impact on 

legal rights or government 

accountability; 

(2) Are the subject of high profile 

litigation, Congressional attention, or 

widespread media coverage; 

(3) Have high research potential; or 

(4) Are permanent records with a 

large volume, regardless of format. 

§ 1239.4 What standards are used as 

guidance for this part? 

These regulations conform to 

guidance provided in ISO 15489–

1:2001. Paragraphs 7.1, Principles of 

records management programmes, and 

10, Monitoring and auditing, apply to 

this part. 

Subpart B—Program Assistance 

§ 1239.10 What program assistance does 

NARA provide? 

(a) NARA publishes handbooks, 

conducts workshops and other training 

sessions, and furnishes information and 

guidance to Federal agencies about the 

creation of records, their maintenance 

and use, and their disposition. NARA 

also may conduct a targeted assistance 

project in cooperation with an agency to 

address a serious records management 

issue in the agency. 

(b) Information on NARA handbooks 

and guidance is available at http:// 

www.archives.gov/records-mgmt/. 

(c) Information on NARA training is 

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

records-mgmt/training/. 

§ 1239.12 Whom may agencies contact to 

request program assistance? 

Agencies in the Washington, DC, area 

desiring information or assistance 

related to any of the areas covered by 

subchapter B may contact the NARA 

Life Cycle Management Division 

(NWML), 8601 Adelphi Rd., College 

Park, MD 20740–6001. Agency field 

organizations may contact the 

appropriate NARA Regional 

Administrator regarding records 

management assistance, including for 

records in or scheduled for transfer to 

the records center or the archival 

operations within the region. 

Subpart C—Inspections 

§ 1239.20 When will NARA undertake an 

inspection? 

NARA may undertake an inspection 

when an agency fails to address specific 

records management problems 

involving high risk to significant 

records. Problems may be identified 

through a risk assessment or through 

other means, such as reports in the 

media, Congressional inquiries, 

allegations of unauthorized destruction, 

reports issued by the GAO or an 

agency’s Inspector General, or 

observations by NARA staff members. 

Inspections will be undertaken when 

other NARA program assistance efforts 

(see § 1239.10) have failed to mitigate 

situations where there is a high risk of 

loss of significant records, or when 

NARA agrees to a request from the 

agency head that NARA conduct an 

inspection to address specific 

significant records management issues 

in the agency. 

§ 1239.22 How does NARA notify the 

agency of the inspection? 

(a) Once NARA identifies the need to 

conduct an agency inspection, the 

Archivist of the United States sends a 

letter to the head of the agency. If the 

agency being inspected is a component 

of a cabinet department, the letter will 

be addressed to the head of the 

component, with a copy sent to the head 

of the department. NARA will also send 

copies to the agency’s records officer. 

The letter will include: 

(1) Notification that NARA intends to 

conduct an inspection, the records that 

will be inspected, and the issues to be 

addressed; 

(2) A beginning date for the 

inspection that is no more than 30 days 

after the date of the letter; and 

(3) A request that the agency appoint 

a point of contact who will assist NARA 

in conducting the inspection. 

(b) If the agency does not respond to 

NARA’s notification letter, NARA will 

use its statutory authority under 44 

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

the agency’s congressional oversight 

committee and to the Office of 

Management and Budget. 

§ 1239.24 How does NARA conduct an 

inspection? 

(a) The NARA inspection team leader 

will coordinate with the agency point of 

contact to arrange an initial meeting 

with the agency. The initial meeting 

will address such matters as the 

parameters of the inspection, any 

surveys or other inspection instruments, 

the offices to be visited, and the timing 

of site visits. 

(b) After the inspection is complete, 

NARA will prepare a draft inspection 

report and transmit it to the agency 

within 45 calendar days of the last site 

visit. The report will include: 

(1) An executive summary; 

(2) Background and purpose of 

inspection; 

(3) Inspection methodology, including 

offices visited; 

(4) Findings; 

(5) Corrective actions needed and 

other recommendations; and 

(6) Any necessary appendixes, such as 

summaries of each site visit or the 

inspection instrument. 

(c) The draft report is sent to the 

agency for review, with a response 

deadline of 45 days. 

(d) NARA will incorporate any 

necessary corrections or revisions in the 

final report and issue the report to the 

head of the agency within 45 days. 

§ 1239.26 What are an agency’s follow up 

obligations for an inspection report? 

The agency must submit a plan of 

corrective action that specifies how the 

agency will address each inspection 

report recommendation, including a 

timeline for completion, and proposed 

progress reporting dates. The agency 

must submit the plan of corrective 

action to NARA within 60 days of 

transmission of the final report. NARA 

may take up to 60 days to review and 

comment on the plan. Once the plan is 

agreed upon by both sides, agencies 

must submit progress reports to NARA 

until all actions are completed. 


pwalker on PROD1PC71 with PROPOSALS2
45310 Federal Register / Vol. 73, No. 150 / Monday, August 4, 2008 / Proposed Rules 

PARTS 1240–1249—[RESERVED] 

Dated: July 24, 2008. 

Allen Weinstein, 

Archivist of the United States. 

[FR Doc. E8–17679 Filed 8–1–08; 8:45 am] 

BILLING CODE 7515–01–P 


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