`[Federal Register Volume 73, Number 150 (Monday, August 4, 2008)]
[Proposed Rules]
[Pages 45274-45310]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-17679]



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Part II





National Archives and Records Administration





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36 CFR Subchapter B



Federal Records Management; Revision; Proposed Rule

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

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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.

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SUMMARY: As part of its initiative to redesign Federal records 
management, NARA is revising and reorganizing the existing regulations 
on Federal records management to update records management strategies 
and techniques and to make the regulations easier to read, understand, 
and use. This 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 
Sec. Sec.  1222.10 and 1222.20. Existing Sec.  1220.18 is moved to 
proposed part 1239.
    In proposed Sec.  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 Sec.  
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 Sec. Sec.  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

[[Page 45275]]

CFR part 1222. The significant changes to this part are:
     In the new Sec.  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 Sec.  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 Sec.  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 Sec.  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 Sec.  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 
Sec.  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, agency-operated, 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 Sec.  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 
Sec.  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.


Sec.  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.


Sec.  1220.2  What are the authorities for Subchapter B?

    The regulations in this subchapter implement the provisions of 44 
U.S.C. Chapters 21, 29, 31, and 33.


Sec.  1220.3  What standards are used as guidelines for Subchapter B?

    These regulations are in conformance with ISO 15489-1:2001, 
Information and documentation--Records management. Other standards 
relating to specific sections of the regulations are cited where 
appropriate.


Sec.  1220.10  Who is responsible for records management?

    (a) The National Archives and Records Administration (NARA) is 
responsible for overseeing agencies' adequacy of documentation and 
records disposition programs and practices, and the General Services 
Administration (GSA) is responsible for overseeing economy and 
efficiency in records management. The Archivist of the United States 
and the Administrator of GSA issue regulations and provide guidance and 
assistance to Federal agencies on records management programs. NARA 
regulations are in this subchapter. GSA regulations are in 41 CFR 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.


Sec.  1220.12  What are NARA's records management responsibilities?

    (a) The Archivist of the United States issues regulations and 
provides guidance and assistance to Federal agencies on ensuring 
adequate and proper documentation of the organization, functions, 
policies, decisions, procedures, and essential transactions of the 
Federal Government and ensuring proper records disposition, including 
standards for improving the management of records.
    (b) NARA establishes standards for the retention of records having 
continuing value (permanent records), and assists Federal agencies in 
applying the standards to records in their custody.
    (c) Through a records scheduling and appraisal process, the 
Archivist of the United States determines which Federal records 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.


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

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


Sec.  1220.16  What recorded information 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.


Sec.  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

[[Page 45278]]

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 Sec.  1222.10 of this part 
for an explanation of this definition).
    Records center is defined in 44 U.S.C. 2901(6) as an establishment 
maintained and operated by the Archivist (NARA Federal Records Center) 
or by another Federal agency primarily for the storage, servicing, 
security, and processing of records which need to be preserved for 
varying periods of time and need not be retained in office equipment or 
space. See also records storage facility.
    Records management, as used in subchapter B, means the planning, 
controlling, directing, organizing, training, promoting, and other 
managerial activities involved with respect to records creation, 
records maintenance and use, and records disposition in order to 
achieve adequate and proper documentation of the policies and 
transactions of the Federal Government and effective and economical 
management of agency operations.
    Records schedule or schedule means:
    (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


Sec.  1220.30  What are an agency's records management 
responsibilities?

    (a) Under 44 U.S.C. 3101, the head of each Federal agency must make 
and preserve records containing adequate and proper documentation of 
the organization, functions, policies, decisions, procedures, and 
essential transactions of the agency. These records must be designed to 
furnish the information necessary to protect the legal and financial 
rights of the Government and of persons directly affected by the 
agency's activities.
    (b) Under 44 U.S.C. 3102, the head of each Federal agency must 
establish and maintain an active, continuing program for the economical 
and efficient management of the records of the agency.
    (c) Agency records management programs must provide for:
    (1) Effective controls over the creation, maintenance, and use of 
records in the conduct of current business; and

[[Page 45279]]

    (2) Cooperation with the Archivist and the Administrator of GSA in 
applying standards, procedures, and techniques designed to improve the 
management of records, promote the maintenance and security of records 
deemed appropriate for preservation, and facilitate the segregation and 
destruction of records of temporary value.


Sec.  1220.32  What records management principles must agencies 
implement?

    Agencies must create and maintain authentic, reliable, and 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).


Sec.  1220.34  What must an agency do to carry out its records 
management responsibilities?

    To carry out the responsibilities specified in 44 U.S.C. 3101 and 
3102, agencies must:
    (a) Assign records management responsibility to a person and office 
with appropriate authority within the agency to coordinate and oversee 
implementation of the agency comprehensive records management program 
principles in Sec.  1220.32;
    (b) Advise NARA and agency managers of the name(s) of the 
individual(s) assigned operational responsibility for the agency 
records management program. To notify NARA, send the name, 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 
[email protected]. 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 [email protected];
    (c) Issue a directive(s) establishing program objectives, 
responsibilities, and authorities for the creation, maintenance, and 
disposition of agency records. Copies of the directive(s) (including 
subsequent amendments or supplements) must be disseminated throughout 
the agency, as appropriate, and a copy must be sent to NARA (NWM);
    (d) Assign records management responsibilities in each program 
(mission) and administrative area to ensure incorporation of 
recordkeeping requirements and records maintenance, storage, and 
disposition practices into agency programs, processes, systems, and 
procedures;
    (e) Integrate records management and archival requirements into the 
design, development, and implementation of electronic information 
systems as specified in Sec.  1236.12;
    (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 Sec.  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


Sec.  1222.1  What are the authorities for Part 1222?

    The statutory authorities for this part are 44 U.S.C. 2904, 3101, 
3102, and 3301.


Sec.  1222.2  What definitions apply to this part?

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


Sec.  1222.3  What standards are used as guidance for this part?

    These regulations conform 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.


Sec.  1222.10  How should agencies apply the statutory definition of 
Federal records?

    (a) The statutory definition of Federal records is contained in 44 
U.S.C. 3301 and provided in Sec.  1220.18 of this 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

[[Page 45280]]

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.


Sec.  1222.12  What types of documentary materials are Federal records?

    (a) General. To ensure that complete and accurate records are made 
and retained in the Federal Government, agencies must distinguish 
between records and nonrecord materials by applying the definition of 
records (see 44 U.S.C. 3301 and 36 CFR 1220.18 and 1222.10) to agency 
documentary materials in all formats and media.
    (b) Record status. Documentary materials are records when they meet 
the conditions specified in Sec.  1222.10(b).
    (c) Working files and similar materials. Working files, such as 
preliminary drafts and rough notes, and other similar materials, are 
records that must be maintained to ensure adequate and proper 
documentation if:
    (1) They were circulated or made available to employees, other than 
the creator, for official purposes such as approval, comment, action, 
recommendation, follow-up, or to communicate with agency staff about 
agency business; 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.


Sec.  1222.14  What are nonrecord materials?

    Nonrecord materials are U.S. Government-owned documentary materials 
that do not meet the conditions of records status (see Sec.  
1222.12(b)) or that are specifically excluded from the statutory 
definition of records (see 44 U.S.C. 3301). An agency's records 
management program also needs to include managing nonrecord materials 
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.)


Sec.  1222.16  How are nonrecord materials managed?

    (a) Agencies must develop recordkeeping requirements to distinguish 
records from nonrecord materials.
    (b) The following guidelines should be used in managing nonrecord 
materials:
    (1) If a clear determination cannot be made, the materials should 
be treated as records. Agencies may consult with NARA for guidance.
    (2) Nonrecord materials must be physically segregated from records 
or, for electronic non-record materials 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.


Sec.  1222.18  Under what conditions may nonrecord materials be removed 
from Government agencies?

    (a) Nonrecord materials, including extra copies of unclassified or 
formally declassified agency records kept only for convenience of 
reference, may be removed by departing employees from Government agency 
custody only with the approval of the head of the agency or the 
individual(s) authorized to act for the agency on records issues.
    (b) National security classified information may not be removed 
from Government custody, except for a removal of custody taken in 
accordance with the requirements of the National Industrial Security 
Program established under Executive Order 12829, as amended, or a 
successor Order.
    (c) Information that is restricted from release under the Privacy 
Act or other

[[Page 45281]]

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.


Sec.  1222.20  How are personal files defined and managed?

    (a) Personal files are defined in Sec.  1220.18. The NARA 
publications Documenting Your Public Service http://www.archives.gov/records-mgmt/publications/documenting-your-public-service.html and 
Disposition of Federal Records http://www.archives.gov/records-mgmt/publications/disposition-of-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 (non-agency) matters and agency 
business must not be mixed in outgoing agency documents, such as 
correspondence and messages.
    (2) If information about private matters and agency business 
appears in a received document, the document is a Federal record. 
Agencies may make a copy of the document with the personal information 
deleted or redacted, and treat the copy as the Federal record.
    (3) Materials labeled ``personal,'' ``confidential,'' or 
``private,'' or similarly designated, and used in the transaction of 
public business, are Federal records. The use of a label such as 
``personal'' does not affect the status of documentary materials in a 
Federal agency.

Subpart B--Agency Recordkeeping Requirements


Sec.  1222.22  What records are required to provide for adequate 
documentation of agency business?

    To meet their obligation for adequate and proper documentation 
agencies must prescribe the creation and maintenance of records that:
    (a) Document the persons, places, things, or matters dealt with by 
the agency.
    (b) Facilitate action by agency officials and their successors in 
office.
    (c) Make possible a proper scrutiny by the Congress or other duly 
authorized agencies of the Government.
    (d) Protect the financial, legal, and other rights of the 
Government and of persons directly affected by the Government's 
actions.
    (e) Document the formulation and execution of basic policies and 
decisions and the taking of necessary actions, including all 
substantive decisions and commitments reached orally (person-to-person, 
by telecommunications, or in conference) or electronically.
    (f) Document important board, committee, or staff meetings.


Sec.  1222.24  How do agencies establish recordkeeping requirements?

    (a) Agencies must ensure that procedures, directives and other 
issuances; systems planning and development documentation; and other 
relevant records include recordkeeping requirements for records in all 
media, including those records created or received on electronic mail 
systems. Recordkeeping requirements must:
    (1) Identify and prescribe specific categories of records to be 
systematically created or received and maintained by agency personnel 
in the course of their official duties;
    (2) Specify the use of materials and recording techniques that 
ensure the preservation of records as long as they are needed by the 
Government;
    (3) 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 Sec.  1222.18;
    (7) Define the special recordkeeping responsibilities of program 
managers, information technology staff, systems administrators, and the 
general recordkeeping responsibilities of all agency employees.
    (b) Agencies must provide the training described in Sec.  
1220.34(f) and inform all employees that they are responsible and 
accountable for keeping accurate and complete records of their 
activities.


Sec.  1222.26  What are the general recordkeeping requirements for 
agency programs?

    To ensure the adequate and proper documentation of agency programs, 
each program must develop recordkeeping requirements that identify:
    (a) The record series and systems that must be created and 
maintained to document program policies, procedures, functions, 
activities, and transactions;
    (b) The office responsible for maintaining the record copies of 
those series and systems, and applicable system administrator 
responsible for ensuring authenticity, protection, and ready retrieval 
of electronic records;
    (c) Related records series and systems;
    (d) The relationship between paper and electronic files in the same 
series; and
    (e) Policies, procedures, and strategies for ensuring that records 
are retained long enough to meet programmatic, administrative, fiscal, 
legal, and historical needs as authorized in a NARA-approved 
disposition schedule.


Sec.  1222.28  What are the series level recordkeeping requirements?

    To ensure that record series and systems adequately document agency 
policies, transactions, and activities, each program must develop 
recordkeeping requirements for records series and systems that include:
    (a) Identification of information and documentation that must be 
included in the series and/or system;
    (b) Arrangement of each series and the records within the series 
and/or system;
    (c) Identification of the location of the records and the staff 
responsible for maintaining the records;
    (d) Policies and procedures for maintaining the documentation of 
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.


Sec.  1222.30  When must agencies comply with the recordkeeping 
requirements of other agencies?

    Agencies must comply with recordkeeping requirements that are 
imposed government-wide by another agency with jurisdiction over the 
program or activity being conducted, e.g., requirements for records 
concerning hazardous waste. Affected agencies must include these 
requirements in appropriate directives or other official issuances 
prescribing the agency's organization, functions, or activities.

[[Page 45282]]

Sec.  1222.32  How do agencies manage records created or received by 
contractors?

    (a) Agency officials responsible for administering contracts must 
safeguard records created, processed, or in the possession of a 
contractor or a non-Federal entity by taking the following steps:
    (1) Agencies must ensure that contractors performing Federal 
government agency functions create and maintain records that document 
these activities. Agencies must specify in the contract government 
ownership and the delivery to the Government of all records necessary 
for the adequate and proper documentation of contractor-operated agency 
activities and programs in accordance with requirements of the Federal 
Acquisition Regulation (FAR) 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-of-data clauses and rights-in-
data clauses must be included in contracts whenever necessary to ensure 
adequate and proper documentation or because the data have reuse value 
to the Government.
    (b) All data created for Government use and delivered to, or 
falling under the legal control of, the Government are Federal records 
subject to the provisions of 44 U.S.C. chapters 21, 29, 31, and 33, the 
Freedom of Information Act (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.


Sec.  1222.34  How must agencies maintain records?

    Agencies must implement a records maintenance program so that 
complete records are filed or otherwise identified and preserved, 
records can be readily found when needed, and permanent and temporary 
records are physically segregated from each other or, for electronic 
records, segregable. Agency records maintenance programs must:
    (a) Institute procedures for organizing and storing records;
    (b) Maintain electronic, audiovisual and cartographic, and 
microform records in accordance with 36 CFR parts 1236, 1237, and 1238, 
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 Sec.  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.


Sec.  1223.1  What are the authorities for Part 1223?

    (a) The authorities for this part are 44 U.S.C. 3101; Executive 
Orders 12656, Assignment of Emergency Preparedness Responsibilities, 
and 13231, Critical Infrastructure Protection in the Information Age; 
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).


Sec.  1223.2  What definitions apply to this part?

    (a) See Sec.  1220.18 of this subchapter for definitions of terms 
used throughout subchapter B, including part 1223.
    (b) As used in part 1223--
    Cycle means the periodic removal of obsolete copies of vital 
records and their replacement with copies of current vital records. 
This may occur daily, weekly, quarterly, annually or at other 
designated intervals.
    Disaster means an unexpected occurrence inflicting widespread 
destruction and distress and having long-term adverse effects on agency 
operations. Each agency defines what a long-term adverse effect is in 
relation to its most critical program activities.
    Emergency means a situation or an occurrence of a serious nature, 
developing suddenly and unexpectedly, and demanding immediate action. 
This is generally of short duration, for example, an interruption of 
normal agency operations for a week or less. It may involve electrical 
failure or minor flooding caused by broken pipes.
    Emergency operating records are 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,

[[Page 45283]]

staffing assignments, selected program records needed to continue the 
most critical agency operations, as well as related policy or 
procedural records that assist agency staff in conducting operations 
under emergency conditions and for resuming normal operations after an 
emergency.
    Legal and financial rights records are that type of vital records 
essential to protect the legal and financial rights of the Government 
and of the individuals directly affected by its activities. Examples 
include accounts receivable records, Social Security records, payroll 
records, retirement records, and insurance records. These records were 
formerly defined as ``rights-and-interests'' records.
    National security emergency means any occurrence, including natural 
disaster, military attack, technological emergency, or other emergency, 
that seriously degrades or threatens the national security of the 
United States, as defined in Executive Order 12656.
    Off-site storage means a facility other than an agency's normal 
place of business where records are kept until eligible for final 
disposition. Vital records may be kept at off-site storage to ensure 
that they are not damaged or destroyed should an emergency occur in an 
agency's normal place of business.
    Vital records means essential agency records that are needed to 
meet operational responsibilities under national security emergencies 
or other emergency conditions (emergency operating records) or to 
protect the legal and financial rights of the Government and those 
affected by Government activities (legal and financial rights records).
    Vital records program means the policies, plans, and procedures 
developed and implemented and the resources needed to identify, use, 
and protect the essential records needed to meet operational 
responsibilities under national security emergencies or other emergency 
conditions or to protect the Government's rights or those of its 
citizens. This is a program element of an agency's emergency management 
function.


Sec.  1223.3  What standards are used as 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.


Sec.  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.


Sec.  1223.12  What are the objectives of a vital records program?

    A vital records program has two objectives:
    (a) It provides an agency with the information it needs to conduct 
its business under other than normal operating conditions and to resume 
normal business afterward; and
    (b) It enables agency officials to identify and protect the most 
important records dealing with the legal and financial rights of the 
agency and of persons directly affected by the agency's actions.


Sec.  1223.14  What elements must a vital records program include?

    To achieve compliance with this section, an agency's vital records 
program must contain all elements listed in 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.


Sec.  1223.16  How are vital records identified?

    Agencies identify vital records in the context of the emergency 
management function. Vital records are those that are needed to perform 
the most critical functions of the agency and those needed to protect 
legal and financial rights of the Government and of the persons 
affected by its actions. Vital records also include emergency plans and 
related records that specify how an agency will respond to an 
emergency. The informational content of record series and electronic 
records systems determines which are vital records. Only the most 
recent and complete sources of the information are vital records.


Sec.  1223.18  Must vital records be in a particular form or format?

    (a) Vital records can be original records or copies of records. 
Consult NARA records management guidance on vital records at http://www.archives.gov/records-mgmt/vital-records/index.html for further 
information.
    (b) Records may be maintained on a variety of media including 
paper, magnetic tape, optical disk, photographic film, and microform. 
In selecting the media, agencies must ensure that equipment needed to 
read the specific media will be available following an emergency or 
disaster.


Sec.  1223.20  What are the requirements for accessing vital records 
during an emergency?

    Agencies must establish retrieval procedures for vital records that 
are easily implemented, especially since individuals unfamiliar with 
the records may need to use them in an emergency. For electronic 
records systems, agencies must also ensure that appropriate hardware, 
software, and system documentation adequate to operate the system and 
access the records will be available in case of an emergency.


Sec.  1223.22  How must agencies protect vital records?

    Agencies must take appropriate measures to ensure the survival of 
the vital records or copies of vital records in case of an emergency.
    (a) Duplication. Agencies may choose to duplicate vital records as 
the primary protection method. Duplication can be to the same medium as 
the original record or to a different medium. When agencies choose 
duplication as a protection method, the copy of the vital record stored 
off-site is normally a duplicate of the original record. The agency may 
store the original records off-site if their protection is necessary, 
or if it does not need to keep the original records at its normal place 
of business.
    (b) Dispersal. Once records are duplicated, they must be dispersed 
to sites a sufficient distance away 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 
Sec.  1233.12 of this chapter, at a records storage facility.

[[Page 45284]]

    (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.


Sec.  1223.24  When can vital records be destroyed?

    The disposition of vital records that are original records is 
governed by records schedules approved by NARA (see part 1225, 
Scheduling Records). Agencies must not destroy original records that 
are not scheduled. Duplicate copies created and maintained for vital 
records purposes only may be destroyed when superseded or obsolete 
during the routine vital records cycle process.

PART 1224--RECORDS DISPOSITION PROGRAMS

Sec.
1224.1 What are the authorities for Part 1224?
1224.2 What definitions apply to this part?
1224.3 What standards are used as guidance for this part?
1224.10 What must agencies do to implement an effective records 
disposition program?


    Authority: 44 U.S.C. 2111, 2904, 3102, and 3301.


Sec.  1224.1  What are the authorities for Part 1224?

    The statutory authorities for this part are 44 U.S.C. 2111, 2904, 
3102, and 3301.


Sec.  1224.2  What definitions apply to this part?

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


Sec.  1224.3  What standards are used as guidance for this part?

    These regulations conform 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.


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

    In order to properly implement the provisions of Sec. Sec.  
1220.30(c)(2), 1220.32(e), and 1220.34(c), (f), and (g) 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 Sec.  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.


Sec.  1225.1  What are the authorities for this part?

    The statutory authorities for this part are 44 U.S.C. 2111, 2904, 
2905, 3102, and Chapter 33.


Sec.  1225.2  What definitions apply to this part?

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


Sec.  1225.3  What standards are used as guidance for this part?

    These regulations conform 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.


Sec.  1225.10  What Federal records must be scheduled?

    All Federal records, including those created or maintained for the 
Government by a contractor, must be covered by a NARA-approved agency 
disposition authority, Standard Form (SF) 115, Request for Records 
Disposition Authority, or the NARA General Records Schedules. See 
Sec. Sec.  1230.10 and 1234.32 of Subchapter B, for requirements 
specific to microform and electronic records, respectively.


Sec.  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/disposition-of-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

[[Page 45285]]

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 Sec.  1225.20).
    (i) Submit an SF 115 covering new or only revised record items to 
NARA for approval (see Sec.  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).


Sec.  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.


Sec.  1225.16  How do agencies schedule temporary records?

    (a) Identification. Federal agencies request authority to dispose 
of records, either immediately or on a recurring basis. Requests for 
immediate disposal are limited to existing records that no longer 
accumulate. For recurring records, approved schedules provide 
continuing authority to destroy the records. The retention periods 
approved by NARA are mandatory, and the agency must dispose of the 
records after expiration of the retention period, except as provided in 
Sec. Sec.  1226.18 and 1226.20.
    (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.


Sec.  1225.18  How do agencies request records disposition authority?

    (a) Federal agencies submit an SF 115 to NARA to request authority 
to schedule (establish the disposition for) permanent and temporary 
records, either on a recurring or one-time basis.
    (b) SFs 115 include only records not covered by the General Records 
Schedules (GRS) (see part 1227), deviations from the GRS (see Sec.  
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 Sec.  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.


Sec.  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,

[[Page 45286]]

    (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.


Sec.  1225.22  When must scheduled records be rescheduled?

    Agencies must submit an SF 115, Request for Records Disposition 
Authority, to NARA in the following situations:
    (a) If an interagency reorganization reassigns functions to an 
existing department or agency, the gaining organization must submit an 
SF 115 to NARA within one year of the reorganization. Schedules 
approved for one department or independent agency do not apply to 
records of other departments or agencies.
    (b) If a new department or agency assumes functions from an 
existing one, the new agency must schedule records documenting the 
acquired functions and all other records not covered by the GRS within 
two years.
    (c) If an agency needs to deviate from retention periods in the 
GRS.
    (d) If an agency needs to change retention periods for records 
previously appraised as temporary by NARA.
    (e) If an agency needs to change the approved disposition of 
records from permanent to temporary or vice versa.
    (f) If an agency needs to modify the description of records because 
the informational content of the records and/or the function documented 
by the records changes.
    (g) If an agency decides to change the scope of the records 
schedule items to include a greater or lesser aggregation of records 
(see Sec.  1225.12(c)), unless Sec.  1225.24 applies.
    (h) Agencies must submit a new schedule to NARA for electronic 
versions of previously scheduled records if:
    (1) The content and function of the records have changed 
significantly (e.g., the electronic records contain information that is 
substantially different from the information included in the hard copy 
series or are used for different purposes).
    (2) The previously approved schedule explicitly excludes electronic 
records.
    (3) The electronic records consist of program records maintained on 
an agency Web site.
    (4) The electronic records consist of temporary program records 
maintained in a format other than scanned image AND the previously 
approved schedule is not media neutral.


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

    If the conditions specified in Sec.  1225.22(h) do not apply, the 
following conditions apply:
    (a) Permanent records. (1) The agency may apply a previously 
approved schedule for hard copy records to electronic versions of the 
permanent records when the electronic records system replaces a single 
series of hard copy permanent records or the electronic records consist 
of information drawn from multiple previously scheduled permanent 
series. Agencies must notify 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 Sec.  1225.26.
    (c) Scanned images of temporary records, including temporary 
program records. The agency must apply the previously approved 
schedule. If changes in the approved schedule are required, follow 
Sec.  1225.26.
    (d) Other temporary records maintained in an electronic format 
other than scanned images. (1) For temporary records that are covered 
by an item in a General Records Schedule (other than those General 
Records Schedule items that exclude electronic master files and 
databases) or an agency-specific schedule that pertains to 
administrative housekeeping activities, apply the previously approved 
schedule. If the electronic records consist of information drawn from 
multiple hard copy series, apply the previously approved schedule item 
with the longest retention period.
    (2) For temporary program records covered by a NARA-approved media 
neutral schedule item (i.e., the item appears on a schedule submitted 
to NARA for approval before December 17, 2007, that is explicitly 
stated to be media neutral, or it appears on a schedule submitted to 
NARA for approval on or after December 17, 2007, that is not explicitly 
limited to a specific recordkeeping medium), apply the previously 
approved schedule.


Sec.  1225.26  How do agencies change a disposition authority?

    Agencies must submit an SF 115 to permanently change the approved 
disposition of records. Disposition authorities are automatically 
superseded by approval of a later SF 115 for the same records unless 
the later SF 115 specifies an effective date. As provided in Sec.  
1226.20(c), 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 Sec.  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?

[[Page 45287]]

1226.16 Does NARA ever withdraw disposition authority?
1226.18 When may agencies temporarily extend retention periods?
1226.20 How do agencies temporarily extend retention periods?
1226.22 When must agencies transfer permanent records?
1226.24 How must agencies destroy temporary records?
1226.26 How do agencies donate temporary records?

    Authority: 44 U.S.C. 2111, 2904, 3102, and 3301.


Sec.  1226.1  What are the general authorities for this part?

    The statutory authorities are 44 U.S.C. 2107, 2111, 2904, 3102, 
3301 and 3302.


Sec.  1226.2  What definitions apply to this part?

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


Sec.  1226.3   What standards are used as guidance for this part?

    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).


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

    The application of approved schedules is mandatory except as 
provided in Sec.  1226.16 and Sec.  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.


Sec.  1226.12   How do agencies disseminate approved schedules?

    (a) Agencies must issue disposition authorities through their 
internal directives system within six months of approval of the SF 115 
or GRS to ensure proper distribution and application of the schedule. 
The directive must cite the legal authority (GRS or SF 115 and item 
numbers) for each schedule item covering records.
    (b) Agencies must send, via link or file, an electronic copy of 
each published agency schedule, directive, and other policy issuance 
relating to records disposition to NARA at [email protected] 
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).


Sec.  1226.14   What are the limitations in applying approved records 
schedules?

    Agencies must apply the approved records disposition schedules to 
their agency's records 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 Sec.  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 Sec.  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.


Sec.  1226.16   Does NARA ever withdraw disposition authority?

    (a) When required to ensure the preservation of Government records, 
or when required by an emergency, or to maintain efficiency of 
Government operations, NARA will withdraw disposal authorizations in 
approved schedules (44 U.S.C. 2909). This withdrawal may apply to 
particular items on agency schedules or may apply to all existing 
authorizations for a specified type of record in any or all agencies.
    (b) To both impose and rescind the withdrawal, NARA will notify the 
affected agency or agencies in writing, either by letter or NARA 
bulletin.


Sec.  1226.18   When may agencies temporarily extend retention periods?

    (a) Agencies may temporarily retain records approved for 
destruction beyond their NARA-approved retention period if special 
circumstances alter the normal administrative, legal, or fiscal value 
of the records.
    (1) Agencies must not retain records whose disposal after a 
specified period is required by statute, unless retention is ordered by 
a court.
    (2) In determining whether or not to temporarily extend the 
retention period of records, agencies must ensure that the extension of 
retention is consistent with the requirement contained in 5 U.S.C. 552a 
(Privacy Act of 1974, as amended) that records concerning individuals 
are maintained only if relevant and necessary to accomplish a purpose 
of the agency that is required by law or executive order.
    (b) If the records that are to be temporarily retained beyond their 
approved destruction date have been transferred to records storage 
facilities, agencies must notify the facility.
    (c) Once the special circumstances that require extended retention 
of records have elapsed, agencies must destroy the records in 
accordance with the NARA-approved disposition instructions.
    (d) Agencies must submit an SF 115 to NARA to change schedule 
provisions on a continuing basis in accordance with Sec.  1225.26. 
Agencies may retain records eligible for destruction until the new 
schedule is approved.


Sec.  1226.20   How do agencies temporarily extend retention periods?

    (a) Agencies must secure NARA written approval to retain records 
series or systems that are eligible for destruction under NARA-approved 
schedules except when:
    (1) The agency has requested a change in the records schedule in 
accordance with Sec.  1225.26, 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 Sec.  
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;

[[Page 45288]]

    (3) A statement of the estimated period of time that the records 
will be required; and
    (4) For records in the agency's custody, a statement of the current 
and proposed physical location of the records.
    (c) Agencies must ensure that records in records storage facilities 
are retained for the duration of the extension.


Sec.  1226.22   When must agencies transfer permanent records?

    All records scheduled as permanent must be transferred to the 
National Archives of the United States after the period specified on 
the SF 115 in accordance with procedures specified under Sec.  1235.12.


Sec.  1226.24   How must agencies destroy temporary records?

    (a) Sale or salvage of unrestricted records.
    (1) Paper records. Paper records to be destroyed normally must be 
sold as wastepaper, or otherwise salvaged. All sales must follow the 
established procedures for the sale of surplus personal property. (See 
41 CFR part 101--45, Sale, Abandonment, or Destruction of Personal 
Property.) The contract for sale must prohibit the resale of all 
records for use as records or documents.
    (2) Records on electronic and other media. Records other than paper 
records (audio, visual, and electronic records on physical media data 
tapes, disks, and diskettes) may be salvaged and sold in the same 
manner and under the same conditions as paper records.
    (b) Destruction of unrestricted records. Unrestricted records that 
agencies cannot sell or otherwise salvage must be destroyed by burning, 
pulping, shredding, macerating, or other suitable means.
    (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.


Sec.  1226.26   How do agencies donate temporary records?

    (a) Agencies must obtain written approval from NARA before donating 
records eligible for disposal to an appropriate person, organization, 
institution, corporation, or government (including a foreign 
government) that has requested them. Records that are not eligible for 
disposal cannot be donated.
    (b) Agencies request the approval of such a donation by sending a 
letter to 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).


Sec.  1227.1  What are the authorities for Part 1227?

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


Sec.  1227.2   What definitions apply to this part?

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


Sec.  1227.3   What standards are used as 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).


Sec.  1227.10   What are General Records Schedules (GRS)?

    General Records Schedules (GRS) are schedules issued by the 
Archivist of the United States that authorize, after specified periods 
of time, the destruction of temporary records or the transfer to NARA 
of permanent records that are common to several or all agencies.


Sec.  1227.12  When must agencies apply the GRS?

    (a) Agencies apply the disposition instructions of the GRS, as 
provided in the following table.

------------------------------------------------------------------------
 When NARA issues a new or revised GRS,
                  and                                  Then
------------------------------------------------------------------------
(1) The new or revised GRS states that   All agencies must follow the
 the provisions must be followed          disposition instructions of
 without exception.                       the GRS, regardless of whether
                                          or not they have existing
                                          schedules.
(2) Your agency does not have an         Your agency must follow the
 existing schedule for these records.     disposition instructions of
                                          the GRS. If your agency's
                                          needs require a different
                                          retention period, then your
                                          agency must submit an SF 115
                                          in accordance with 36 CFR part
                                          1225, and a justification for
                                          the deviation.

[[Page 45289]]

 
(3) When your agency has an existing     Your agency may follow the
 schedule and the new or revised GRS      disposition instructions in
 permits use of existing agency-          either the GRS or the existing
 specific schedules.                      agency schedule, but it must
                                          follow the same instructions
                                          throughout the agency and
                                          instruct its staff to do so.
                                          If your agency chooses to
                                          follow its own schedule, then
                                          it must notify NARA within 90
                                          days of the issuance of the
                                          new or revised GRS.
(4) Your agency does not create or       No action is required.
 maintain any of the records addressed
 by that GRS.
------------------------------------------------------------------------

    (b) Except as provided in the table in paragraph (a), agencies must 
incorporate in their disposition manual or otherwise disseminate new 
and revised GRS within 6 months after NARA has issued the GRS 
Transmittal.
    (c) NARA may, at its discretion, apply the provisions of the GRS to 
records in its legal custody, subject to the provisions of Sec.  
1235.34.


Sec.  1227.14   How do I obtain copies of the GRS?

    (a) The GRS and instructions for their use are available online at 
http://www.archives.gov/records-mgmt/ardor/records-schedules.html. They 
are also available by writing to the National Archives and Records 
Administration, Modern Records 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.


Sec.  1228.1  What are the authorities for this part?

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


Sec.  1228.2  What definitions apply to this part?

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


Sec.  1228.10  When do loans of permanent and unscheduled records 
require NARA approval?

    Loans of permanent or unscheduled records between Federal agencies 
or to non-Federal recipients require prior written approval from NARA. 
The loan of permanent or unscheduled records increases the likelihood 
of the records becoming lost, misplaced, or incorporated into other 
files. Agencies should consider reproducing or scanning the records in 
response to a loan request.


Sec.  1228.12  How do agencies obtain approval to loan permanent or 
unscheduled records?

    (a) An agency proposing to loan permanent or unscheduled records 
must prepare a written loan agreement with the proposed recipient. The 
agreement must include:
    (1) The name of the department or agency and subdivisions having 
custody of the records;
    (2) The name and address of the proposed recipient of the records;
    (3) A list containing:
    (i) Identification of the records to be loaned, by series or 
system;
    (ii) The inclusive dates for each series or system;
    (iii) The volume and media of the records to be loaned; and
    (iv) The NARA disposition job (SF 115) and item numbers covering 
the records, if any.
    (4) A statement of the purpose and duration of the loan;
    (5) A statement specifying any restrictions on the use of the 
records and how these restrictions will be imposed by the recipient;
    (6) A certification that the records will be stored in areas with 
security and environmental controls equal to those specified in Part 
1234; 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 Sec.  1220.34(b).


Sec.  1228.14  How will NARA handle a loan request?

    (a) NARA will review the request and, if it is approved, return the 
signed agreement to the agency within 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.


Sec.  1228.16  When must agencies retrieve records that have been 
loaned?

    An agency must contact the recipient of loaned permanent or 
unscheduled records 30 days prior to the expiration of the loan period 
(as stated in the loan agreement) to arrange for the return of the 
records. If the agency extends the duration of the loan, it must notify 
NARA (see Sec.  1228.12(b)) in writing, specifying the reason for the 
extension and providing the new expiration date of the loan.

PART 1229--EMERGENCY AUTHORIZATION TO DESTROY RECORDS

Sec.
1229.1 What is the scope of this part?
1229.2 What are the authorities for this part?
1229.3 What definitions apply to this part?
1229.10 What steps must be taken when records are a continuing 
menace to 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.


Sec.  1229.1  What is the scope of this part?

    This part describes certain conditions under which records may be 
destroyed without regard to the provisions of part 1226.


Sec.  1229.2  What are the authorities for this part?

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

[[Page 45290]]

Sec.  1229.3  What definitions apply to this part?

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


Sec.  1229.10  What steps must be taken when records are a continuing 
menace to 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 
[email protected], 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.


Sec.  1229.12  What are the requirements during a state of war or 
threatened war?

    (a) Destruction of records outside the territorial limits of the 
continental United States is authorized whenever, during a state of war 
between the United States and any other nation or when hostile action 
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.


Sec.  1230.1  What are the authorities for this part?

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


Sec.  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).


Sec.  1230.3  What definitions apply to this part?

    (a) See Sec.  1220.18 of this subchapter for definitions of terms 
used throughout subchapter B, including part 1230.
    (b) As used in part 1230--
    Alteration means the unauthorized annotation, addition, or deletion 
to a record.
    Deface means to obliterate, mar or spoil the appearance or surface 
of a record that impairs the usefulness or value of the record.
    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 court-ordered disposal under Sec.  1226.14(d)); and 
disposal of a record subject to a FOIA request, litigation hold, or any 
other hold requirement to retain the records.


Sec.  1230.10  Who is responsible for preventing the unlawful or 
accidental removal, defacing, alteration, or destruction of records?

    The heads of Federal agencies must:
    (a) Prevent the unlawful or accidental removal, defacing, 
alteration, or destruction of records. Section 1222.24(a)(6) prohibits 
removing records from the legal custody of the agency. Records must not 
be destroyed except under the provisions of NARA-approved agency 
records schedules or the General 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.


Sec.  1230.12  What are the penalties for unlawful or accidental 
removal, defacing, alteration, or destruction of records?

    The penalties for the unlawful or accidental removal, defacing, 
alteration, or destruction of Federal records or the attempt to do so, 
include a fine, imprisonment, or both (18 U.S.C. 641 and 2071).


Sec.  1230.14  How do agencies report incidents?

    The agency must report promptly any unlawful or accidental removal, 
defacing, alteration, or destruction of records in the custody of that 
agency to 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 Sec.  1220.34(b).

[[Page 45291]]

Sec.  1230.16  How does NARA handle allegations of unlawful or 
accidental removal, defacing, alteration, or destruction?

    Upon receiving any credible information that records are at risk of 
actual, impending, or threatened damage, alienation, or unauthorized 
destruction, NARA will contact the agency:
    (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.


Sec.  1230.18  What assistance is available to agencies to recover 
unlawfully removed records?

    NARA will assist the head of the agency in the recovery of any 
unlawfully removed records, including 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.


Sec.  1231.1  What is the authority for this part?

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


Sec.  1231.2  What definitions apply to this part?

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


Sec.  1231.10  Who has the authority to approve the transfer of records 
from the custody of one executive agency to another?

    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 Sec.  1231.18(a).


Sec.  1231.12  How do executive agencies request to transfer records to 
another executive agency?

    An executive agency that proposes to transfer records to another 
agency must request approval of the transfer of records in writing from 
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.


Sec.  1231.14  May the records of terminated agencies be transferred to 
another agency?

    The records of executive agencies whose functions are terminated or 
are in process of liquidation may be transferred to another executive 
agency that inherits the function. All such transfers must be made in 
accordance with the provisions of this part 1231.


Sec.  1231.16  What restrictions are there on use of transferred 
records?

    Restrictions imposed under a statute or Executive order must 
continue to be imposed after the transfer. Restrictions imposed by 
agency determination must also continue, unless the restrictions are 
removed by agreement between the agencies concerned.


Sec.  1231.18  When are records transferred between executive agencies 
without NARA approval?

    Records are transferred between executive agencies without NARA 
approval when:
    (a) Records are transferred to a NARA or agency-operated records 
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 Sec.  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.


Sec.  1232.1  What are the authorities for Part 1232?

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


Sec.  1232.2  What definitions apply to this part?

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


Sec.  1232.3  What standards are used as 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.


Sec.  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

[[Page 45292]]

Department of Defense and the Office of Personnel Management and other 
designated records pertaining to former Federal civilian employees. A 
list of NARA Federal Records Centers is available from the NARA Web 
site at http://www.archives.gov/locations/index.html and also in the 
U.S. Government Manual, which is for sale from the Superintendent of 
Documents, U.S. Government Printing Office, Mail Stop: SSOP, 
Washington, DC 20402-9328, and is available on the Internet from http://www.access.gpo.gov/nara/index.html.
    (b) Records centers operated by or on behalf of one or more Federal 
agencies other than NARA.
    (c) Commercial records storage facilities operated by private 
entities.


Sec.  1232.12  Under what conditions may Federal records be stored in 
records storage facilities?

    The following chart shows what records can be stored in a records 
storage facility and the conditions that apply:

------------------------------------------------------------------------
             Type of record                         Conditions
------------------------------------------------------------------------
(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 Sec.
                                            1232.14(b)).
(3) Temporary records (excluding         Any storage facility that meets
 Civilian Personnel Records).             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).
------------------------------------------------------------------------

Sec.  1232.14  What requirements must an agency meet before it 
transfers records to a records storage facility?

    An agency must meet the following requirements before it transfers 
records to a records storage facility:
    (a) Ensure that the requirements of 36 CFR part 1234 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 
Sec.  1232.16(a).
    (c) For all records being transferred, create documentation 
sufficient to identify and locate files. (See Sec.  1232.16.)
    (d) Ensure that NARA-approved retention periods are implemented 
properly and that records documenting final disposition actions 
(destruction or transfer to the National Archives of the United States) 
are created and maintained as required by 36 CFR 1226.22.


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


Sec.  1232.18   What procedures must an agency follow to transfer 
records to an agency records center or commercial records storage 
facility?

    Federal agencies must use the following procedures to transfer 
records to an agency records center or commercial records storage 
facility:
    (a) Agreements with agency records centers or contracts with 
commercial records storage facilities must incorporate the standards in 
Part 1234 and allow for inspections by the agency and NARA to ensure 
compliance. An agency must remove records promptly from a facility if 
deficiencies identified during an inspection are not corrected within 
six months of issuance of the report.
    (b) For temporary records, the agency must make available to NARA 
on request the documentation specified in Sec.  1232.16.
    (c) Retain temporary records until the expiration of their NARA-
approved retention period and no longer, except as provided for in 
Sec.  1226.18.
    (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

[[Page 45293]]

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 Sec.  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 Sec.  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 Sec.  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.


Sec.  1233.1  What are the authorities for this part?

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


Sec.  1233.2  What definitions apply to this part?

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


Sec.  1233.3  What standards are used as 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.


Sec.  1233.10   How does an agency transfer records to a NARA Federal 
Records Center?

    An agency transfers records to a NARA Federal Records Center using 
the following procedures:
    (a) General. NARA will ensure that its records centers meet the 
facilities standards in part 1234 of this part, which meets the 
agency's obligation in Sec.  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 Sec.  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).


Sec.  1233.12   How does an agency transfer vital records to a NARA 
Federal Records Center?

    For assistance on selecting an appropriate site among NARA 
facilities for storage of vital records, agencies may contact 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.


Sec.  1233.14  What personnel records must be transferred to the 
National Personnel Records Center (NPRC)?

    (a) Civilian personnel files:
    (1) General Records Schedules 1 and 2 specify that certain Federal 
civilian personnel, medical, and pay records must be centrally stored 
at the National Personnel Records Center (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

[[Page 45294]]

    (2) Medical treatment records (outpatient) for military retirees, 
dependents, and others treated at military health care facilities.


Sec.  1233.16  How does an agency transfer records to the National 
Personnel Records Center (NPRC)?

    Agencies must use the following procedures when transferring 
records to the NPRC:
    (a) Civilian personnel files. (1) Forward the official personnel 
folder (OPF) and the employee medical folder (EMF) to the 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).


Sec.  1233.18  What reference procedures are used in NARA Federal 
Records Centers?

    (a) Agency records transferred to a NARA Federal Records Center 
remain in the legal custody of the agency. NARA acts as the agency's 
agent in maintaining the records. NARA will not disclose the record 
except to the agency that maintains the record, or under rules 
established by that agency which are consistent with existing laws.
    (b) For general reference requests agencies may use 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/civilian-personnel/federal-agencies.html.
    (2) Standard Form 184, Request for Employee Medical Folder 
(Separated Employee), to request medical folders stored at the National 
Personnel Records Center. Additional instructions on requesting EMFs 
are available online at http://www.archives.gov/st-louis/civilian-personnel/federal-agencies.html.
    (3) Optional Form 11, Reference Request-- Federal Records Center to 
request medical records transferred to other NARA Federal Records 
Centers prior to September 1, 1984. The request must include the name 
and address of the agency's designated medical records manager
    (d) For military personnel records reference requests, the 
following forms must be used:
    (1) Federal agencies must use Standard Form (SF) 180, Request 
Pertaining to Military Records, to obtain information from military 
service records in the National Personnel Records Center (Military 
Personnel Records); authorized agencies requesting the loan of a 
military personnel record may order records using eMilrecs (electronic 
equivalent of the SF 180). Additional information is available online 
at: http://www.archives.gov/st-louis/military-personnel/agencies/ompf-fed-agency.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 non-governmental organizations also 
may obtain copies of SF 180 by submitting a written request to the 
National Personnel Records Center (Military Personnel Records), 9700 
Page Boulevard, St. Louis, MO 63132. OMB Control Number 3095-0029 has 
been assigned to the SF 180.
    (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/military-personnel/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).


Sec.  1233.20  How are disposal clearances managed for records in NARA 
Federal Records Centers?

    (a) The National Personnel Records Center will destroy records 
covered by General Records Schedules 1 and 2 in accordance with those 
schedules without further agency clearance.
    (b) NARA Federal Records Centers will destroy other eligible 
Federal records only with the written concurrence of the agency having 
legal custody of the records.
    (c) NARA Federal Records Centers will maintain documentation on the 
final disposition of records, as required in 36 CFR 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 Sec.  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?

[[Page 45295]]

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


Sec.  1235.1   What are the authorities for this part?

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


Sec.  1235.2  What definitions apply to this part?

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


Sec.  1235.3  What standards are used as guidance for this part?

    These regulations conform to guidance provided in ISO 15489-1:2001. 
Paragraphs 8.3 (Designing and implementing records systems), 9.6 
(Storage and handling), and 9.7 (Access) are particularly relevant to 
this part.


Sec.  1235.4  What publications are incorporated by reference in this 
part?

    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.


Sec.  1235.10  What records do agencies transfer to the National 
Archives of the United States?

    Agencies must transfer to the National Archives of the United 
States records that have been scheduled as permanent on an SF 115, 
Request for Records Disposition Authority, records that are designated 
as permanent in a General Records Schedule; and, when appropriate, 
records that are accretions to holdings (continuations of series 
already accessioned.)


Sec.  1235.12  When must agencies transfer records to the National 
Archives of the United States?

    Permanent records must be transferred to the National Archives of 
the United States when:
    (a) The records are eligible for transfer based on the transfer 
date specified in a NARA-approved records schedule, or
    (b) The records have been in existence for more than 30 years (see 
also Sec.  1235.14).


Sec.  1235.14  May agencies retain records for the conduct of regular 
agency business after they are eligible for transfer?

    (a) Agencies may retain records longer than specified on a records 
disposition schedule only with written approval from NARA.
    (b) If the agency determines that the records are needed for the 
conduct of regular business, the records officer must submit to 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.


Sec.  1235.16  How will NARA respond to an agency's request to retain 
records?

    (a) Approval. NARA will provide written approval of the request to 
retain the records for the specified period within 30 days of receipt 
of the request.
    (b) Disapproval. NARA will provide written disapproval of an 
agency's request within 30 days. Requests will be denied if the agency 
is retaining the records primarily to:
    (1) Provide access services to persons outside the agency that can 
be provided by NARA, or
    (2) Function as an agency archives, unless specifically authorized 
by statute or by NARA.

[[Page 45296]]

Sec.  1235.18  How do agencies transfer records to the National 
Archives of the United States?

    Agencies transfer records by submitting a signed SF 258, Agreement 
to Transfer Records to the National Archives of the United States. Each 
SF 258 must correlate to a specific records series or other aggregation 
of records, as identified in an item on the SF 115 or cited on the SF 
258.


Sec.  1235.20  How do agencies indicate that transferred records 
contain information that is restricted from public access?

    When completing an SF 258, agencies must indicate restrictions on 
the use and examination of records and attach a written justification. 
The justification must cite the statute or Freedom of Information Act 
exemption (5 U.S.C. 552(b)), as amended, that authorizes the 
restrictions.


Sec.  1235.22  When does legal custody of records transfer to NARA?

    Legal custody of records passes from the agency to NARA when the 
appropriate NARA official signs the SF 258 acknowledging receipt of the 
records.

Subpart B--Administration of Transferred Records


Sec.  1235.30  How may records in the National Archives of the United 
States be used?

    (a) NARA will enforce restrictions that are consistent with 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.


Sec.  1235.32  How does NARA handle restrictions on transferred 
records?

    (a) For records less than 30 years old. Unless required by law, 
NARA will remove or relax restrictions on transferred records less than 
30 years old only with the written concurrence of the transferring 
agency or, if applicable, its successor agency. If the transferring 
agency no longer exists, and there is no successor, the Archivist may 
relax, remove, or impose restrictions to serve the public interest.
    (b) For records more than 30 years old.
    (1) After records are more than 30 years old, most statutory and 
other restrictions on transferred records expire. NARA, however, after 
consulting with the transferring agency, may keep the restrictions in 
force for a longer period.
    (2) See Part 1256 of this chapter for restrictions on specific 
categories of records, including national security classified 
information and information that would invade the privacy of an 
individual, that NARA restricts beyond 30 years.


Sec.  1235.34  May NARA destroy transferred records?

    NARA will not destroy records transferred to NARA's custody except:
    (a) With the written concurrence of the agency or its successor, or
    (b) As authorized on an SF 258.

Subpart C--Transfer Specifications and Standards


Sec.  1235.40  What records are covered by additional transfer 
requirements?

    In addition to complying with subparts A and B of this part, 
agencies must follow the specifications and requirements in this 
subpart when transferring audiovisual, cartographic, architectural, and 
electronic records to the National Archives of the United States. In 
general, such records must be transferred to the National Archives of 
the United States as soon as they become inactive or whenever the 
agency cannot provide proper care and handling of the records, 
including adequate storage conditions (see parts 1236 and 1237 of this 
chapter).


Sec.  1235.42  What specifications and standards for transfer apply to 
audiovisual records, cartographic, and related records?

    In general the physical types described below comprise the minimum 
record elements that are needed for future preservation, duplication, 
and reference for audiovisual records, cartographic records, and 
related records.
    (a) Motion pictures.
    (1) Agency-sponsored or produced motion picture films (e.g., public 
information films) whether for public or internal use:
    (i) Original negative or color original plus separate optical sound 
track;
    (ii) Intermediate master positive or duplicate negative plus 
optical track sound track; and,
    (iii) Sound projection print and video recording, if they exist.
    (2) Agency-acquired motion picture films: Two projection prints in 
good condition or one projection print and one videotape.
    (3) Unedited footage, outtakes, and trims (the discards of film 
productions) that are properly arranged, labeled, and described and 
show unstaged, unrehearsed events of historical interest or 
historically significant phenomena:
    (i) Original negative or color original; and
    (ii) Matching print or videotape.
    (b) Video recordings.
    (1) For videotape, the original or earliest generation videotape 
and a copy for reference. Agencies must comply with requirements in 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-photo-records.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 
33\1/3\ revolutions per minute (rpm).
    (2) For analog audio recordings on magnetic tape (open reel, 
cassette, or cartridge), the original tape, or the earliest available 
generation of the

[[Page 45297]]

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, ``as-built'' drawings, 
shop drawings, and repair and alteration drawings.
    (3) Drawings of repetitive or standard details of one or more 
buildings or structures.
    (4) ``Measured'' drawings of existing buildings and original or 
photocopies of drawings reviewed for approval.
    (5) Related finding aids and specifications to be followed.
    (i) Digital geospatial data records. See Sec.  1235.48(c) for 
transfer requirements for digital geospatial data records.


Sec.  1235.44  What general transfer requirements apply to electronic 
records?

    (a) Each agency must retain a copy of permanent electronic records 
that it transfers to NARA until it receives official notification that 
NARA has assumed responsibility for continuing preservation of the 
records.
    (b) 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.


Sec.  1235.46  What electronic media may be used for transferring 
records to the National Archives of the United States?

    (a) General. This section specifies the media or method used to 
transfer permanent records to the National Archives of the United 
States. (See 36 CFR 1236.28 for the requirements governing the 
selection of electronic records storage media for current agency use.) 
The agency must use only media that is 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.

[[Page 45298]]

    (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.


Sec.  1235.48  What documentation must agencies transfer with 
electronic records?

    (a) General. Agencies must transfer documentation adequate to 
identify, service, and interpret the permanent electronic records. This 
documentation must include completed NARA Form 14097, Technical 
Description for Transfer of Electronic Records, 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).


Sec.  1235.50  What specifications and standards for transfer apply to 
electronic records?

    (a) General.
    (1) Agencies must transfer electronic records in a format that is 
independent of specific hardware or software. Except as specified in 
paragraphs (c) through (e) of this section, the records must be written 
in 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?

[[Page 45299]]

1236.14 What must agencies do to protect records against 
technological obsolescence?
Subpart C--Additional requirements for electronic records
1236.20 What are appropriate recordkeeping systems for electronic 
records?
1236.22 What are the additional requirements for managing electronic 
mail records?
1236.24 What are the additional requirements for managing 
unstructured electronic records?
1236.26 What actions must agencies take to maintain electronic 
information systems?
1236.28 What additional requirements apply to the selection and 
maintenance of electronic records storage media for permanent 
records?

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

Subpart A--General


Sec.  1236.1  What are the authorities for Part 1236?

    The statutory authority for this part is 44 U.S.C. 2904, 3101, 
3102, and 3105. OMB Circular A-130, Management of Federal Information 
Resources, applies to records and information systems containing 
records.


Sec.  1236.2  What definitions apply to this part?

    (a) See Sec.  1220.18 of this subchapter for definitions of terms 
used throughout subchapter B, including part 1236.
    (b) As used in part 1236--
    Electronic information system means an information system that 
contains and provides access to computerized Federal records and other 
information.
    Electronic mail system means a computer application used to create, 
receive, and transmit messages and other documents. Excluded from this 
definition are file transfer utilities (software that transmits files 
between users but does not retain any transmission data), data systems 
used to collect and process data that have been organized into data 
files or data bases on either personal computers or mainframe 
computers, and word processing documents not transmitted on an e-mail 
system.
    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.


Sec.  1236.4  What standards are used as guidelines for this part?

    These regulations are in conformance with ISO 15489-1:2001.


Sec.  1236.6  What are agency responsibilities for electronic records 
management?

    Agencies must:
    (a) Incorporate management of electronic records into the records 
management activities required by parts 1220-1235;
    (b) Integrate records management and preservation considerations 
into the design, development, enhancement, and implementation of 
electronic information systems in accordance with subpart B of this 
part; and
    (c) Appropriately manage electronic records in accordance with 
subpart C of this part.

Subpart B--Records Management and Preservation Considerations for 
Designing and Implementing Electronic Information Systems


Sec.  1236.10  What records management controls must agencies establish 
for records in electronic information systems?

    The following types of records management controls are needed to 
ensure that Federal records in electronic information systems can 
provide adequate and proper documentation of agency business for as 
long as the information is needed. Agencies must incorporate controls 
into the electronic information system or integrate them into a 
recordkeeping system that is external to the information system itself 
(see Sec.  1236.20).
    (a) Reliability: Controls to ensure a full and accurate 
representation of the transactions, activities or facts to which they 
attest and can be depended upon in the course of subsequent 
transactions or activities;
    (b) Authenticity: Controls to protect against unauthorized 
addition, deletion, alteration, use and concealment;
    (c) Integrity: Controls, such as audit trails, to ensure records 
are complete and unaltered;
    (d) Usability: Mechanisms to ensure records can be located, 
retrieved, presented and interpreted.
    (e) Content: Mechanisms to preserve the information contained 
within the record itself that was produced by the creator of the 
record;
    (f) Context: Mechanisms to implement cross-references to related 
records that show the organizational, functional and operational 
circumstances about the record, which will vary depending upon the 
business, legal and regulatory requirements of the business activity; 
and
    (g) Structure: Controls to ensure the maintenance of the physical 
and logical format of the records and the relationships between the 
data elements.


Sec.  1236.12  What other records management and preservation 
considerations must be incorporated into the design, development, and 
implementation of electronic information systems?

    As part of the agency's capital planning and systems development 
life cycle processes, ensure:
    (a) Records management controls (see Sec.  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 Sec.  1236.14.)
    (c) The transfer of permanent records to NARA in accordance with 
part 1235 of this subchapter.
    (d) Provision of a standard interchange format (e.g., ASCII or XML) 
when needed to permit the exchange of electronic documents between 
offices using different software or operating systems.


Sec.  1236.14  What must agencies do to protect records against 
technological obsolescence?

    Agencies must design and implement migration strategies to 
counteract hardware and software dependencies of electronic records 
whenever the records must be maintained and used beyond the life of the 
information system in which the records are originally created or 
captured. To successfully protect records against technological 
obsolescence, agencies must:
    (a) Determine if the NARA-approved retention period for the records 
will be longer than the life of the system where they are currently 
stored. If so, plan for the migration of the records to a new system 
before the current system is retired.
    (b) Carry out upgrades of hardware and software in such a way as to 
retain the functionality and integrity of the electronic records 
created in them. Retention of record functionality and integrity 
requires:
    (1) Retaining the records in a usable format until their authorized 
disposition date. Where migration includes

[[Page 45300]]

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


Sec.  1236.20  What are appropriate recordkeeping systems for 
electronic records?

    (a) General. Agencies must use electronic or paper recordkeeping 
systems or a combination of those systems, depending on their business 
needs, for managing their records. Transitory e-mail may be managed as 
specified in Sec.  1236.22(c).
    (b) Electronic recordkeeping. Recordkeeping functionality may be 
built into the electronic information system or records can be 
transferred to an electronic recordkeeping repository, such as a DoD-
5015.2 STD-certified product. The following functionalities are 
necessary for electronic recordkeeping:
    (1) Declare records. Assign unique identifiers to records.
    (2) Capture records. Import records from other sources, manually 
enter records into the system, or link records to other systems.
    (3) Organize records. Associate with an approved records schedule 
and disposition instruction.
    (4) Maintain records security. Prevent the unauthorized access, 
modification, or deletion of declared records, and ensure that 
appropriate audit trails are in place to track use of the records.
    (5) Manage access and retrieval. Establish the appropriate rights 
for users to access the records and facilitate the search and retrieval 
of records.
    (6) Preserve records. Ensure that all records in the system are 
retrievable and usable for as long as needed to conduct agency business 
and to meet NARA-approved dispositions. Agencies must develop 
procedures to enable the migration of records and their associated 
metadata to new storage media or formats in order to avoid loss due to 
media decay or technology obsolescence.
    (7) Execute disposition. Identify and effect the transfer of 
permanent records to NARA based on approved records schedules. Identify 
and delete temporary records that are eligible for disposal. Apply 
records hold or freeze on disposition when required.
    (c) Backup systems. System and file backup processes and media do 
not provide the appropriate recordkeeping functionalities and must not 
be used as the agency electronic recordkeeping system.


Sec.  1236.22  What are the additional requirements for managing 
electronic mail records?

    (a) Agencies must issue instructions to staff on the following 
retention and management requirements for electronic mail records:
    (1) The names of sender and all addressee(s) and date the message 
was sent must be preserved for each electronic mail record in order for 
the context of the message to be understood. The agency may determine 
that other metadata is needed to meet agency business needs, e.g., 
receipt information.
    (2) Attachments to electronic mail messages that are an integral 
part of the record must be preserved as part of the electronic mail 
record or linked to the electronic mail record with other related 
records.
    (3) If the electronic mail system identifies users by codes or 
nicknames or identifies addressees only by the name of a distribution 
list, retain the intelligent or full names on directories or 
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 
short-term NARA-approved retention periods (transitory records with a 
very short-term retention period of 180 days or less as provided by GRS 
23, Item 7, or by a NARA-approved agency records schedule) on the 
electronic mail system itself, without the need to copy the record to a 
paper or electronic recordkeeping system, provided that:
    (1) Users do not delete the messages before the expiration of the 
NARA-approved retention period, and
    (2) The system's automatic deletion rules ensure preservation of 
the records until the expiration of the NARA-approved retention period.
    (d) Except for those electronic mail records within the scope of 
paragraph (c) of this section:
    (1) Agencies must not use an electronic mail system to store the 
recordkeeping copy of electronic mail messages identified as Federal 
records unless that system has all of the features specified in Sec.  
1236.20(b).
    (2) If the electronic mail system is not designed to be a 
recordkeeping system, agencies must instruct staff on how to copy 
Federal records from the electronic mail system to a recordkeeping 
system.
    (e) Agencies that retain permanent electronic mail records 
scheduled for transfer to the National Archives must either store them 
in a format and on a medium that conforms to the requirements 
concerning transfer at 36 CFR part 1235 or maintain the ability to 
convert the records to the required format and medium at the time 
transfer is scheduled.
    (f) Agencies that maintain paper recordkeeping systems must print 
and file their electronic mail records with the related transmission 
and receipt data specified by the agency's electronic mail 
instructions.


Sec.  1236.24  What are the additional requirements for managing 
unstructured electronic records?

    (a) Agencies that manage unstructured electronic records 
electronically must ensure that the records are filed in a 
recordkeeping system that meets the requirements in Sec.  1236.10(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.


Sec.  1236.26  What actions must agencies take to maintain electronic 
information systems?

    (a) Agencies must maintain inventories of electronic information 
systems and review the systems periodically for conformance to 
established agency procedures,

[[Page 45301]]

standards, and policies as part of the periodic reviews required by 44 
U.S.C. 3506. The review should determine if the records have been 
properly identified and described, and if the schedule descriptions and 
retention periods reflect the current informational content and use. If 
not, agencies must submit an SF 115, Request for Records Disposition 
Authority, to NARA.
    (b) Agencies must maintain up-to-date documentation about 
electronic information systems that is adequate to:
    (1) Specify all technical characteristics necessary for reading and 
processing the records contained in the system;
    (2) Identify all inputs and outputs;
    (3) Define the contents of the files and records;
    (4) Determine restrictions on access and use;
    (5) Understand the purpose(s) and function(s) of the system;
    (6) Describe update cycles or conditions and rules for adding, 
changing, or deleting information in the system; and
    (7) Ensure the timely, authorized disposition of the records.


Sec.  1236.28  What additional requirements apply to the selection and 
maintenance of electronic records storage media for permanent records?

    (a) Agencies must maintain the storage and test areas for 
electronic records storage media containing permanent and unscheduled 
records within the following temperature and relative humidity ranges:
    Temperature--62 [deg] to 68 [deg]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 
cellulose-acetate base film?

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


Sec.  1237.1  What is the applicability and scope of this part?

    Agencies must manage audiovisual, cartographic, and related records 
in accordance with parts 1220-1235. This part prescribes additional 
policies and procedures for managing audiovisual, cartographic, and 
related records to ensure adequate and proper documentation and 
authorized, timely, and appropriate disposition.


Sec.  1237.2  What are the authorities for this part?

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


Sec.  1237.3  What definitions apply to this part?

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

[[Page 45302]]

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.


Sec.  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 
Black-and-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


Sec.  1237.10  How must agencies manage their audiovisual, cartographic 
and related records?

    Each Federal agency must manage its audiovisual, cartographic and 
related records as required in Parts 1220 and 1224. In addition, 
agencies must:
    (a) Prescribe the types of audiovisual, cartographic and related 
records to be created and maintained. (See Sec.  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.


Sec.  1237.12  What record elements must be created and preserved for 
permanent audiovisual records?

    For permanent audiovisual records, the following record elements 
must be created or acquired and preserved for transfer into the 
National Archives of the United States. (See Sec.  1235.52 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 Sec.  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 
33\1/3\ revolutions per minute (rpm).
    (2) For analog audio recordings on magnetic tape (open reel, 
cassette, or cartridge), the original tape, or the earliest available 
generation of the recording, and a subsequent generation copy for 
reference.
    (f) Finding aids and production documentation.
    (1) Existing finding aids such as data sheets, shot lists, 
continuities, review

[[Page 45303]]

sheets, catalogs, indexes, list of captions, and other documentation 
that identifies the records.
    (2) Production case files or similar files that include copies of 
production contracts, scripts, transcripts, and appropriate 
documentation bearing on the origin, acquisition, release, and 
ownership of the production.


Sec.  1237.14  What are the additional scheduling requirements for 
audiovisual, cartographic, and related records?

    The disposition instructions 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 Sec.  1235.42 
for specifications and standards for transfer to National Archives of 
the United States of audiovisual, cartographic, and related records.


Sec.  1237.16  How do agencies store audiovisual records?

    Agencies must maintain appropriate storage conditions for 
permanent, long-term temporary, or unscheduled audiovisual records:
    (a) Ensure that audiovisual records storage facilities comply with 
36 CFR part 1234.
    (b) For the storage of permanent, long-term temporary, or 
unscheduled records, use audiovisual storage containers or enclosures 
made of non-corroding metal, inert plastics, paper products and other 
safe materials recommended in ISO 18902: 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 Sec.  1238.20. Store series of temporary x-ray 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.


Sec.  1237.18  What are the environmental standards for audiovisual 
records storage?

    (a) Photographic film and prints. The requirements in this 
paragraph apply to permanent, long-term temporary, and unscheduled 
audiovisual records.
    (1) General guidance. Keep all film in cold storage following 
guidance by the International Organization for Standardization (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.


Sec.  1237.20  What are special considerations in the maintenance of 
audiovisual records?

    Agencies must:
    (a) Handle audiovisual records in accordance with commonly accepted 
industry practices.
    (b) Protect audiovisual records, including those recorded on 
digital media or magnetic sound or video media, from accidental or 
deliberate alteration or erasure.
    (c) If different versions of audiovisual productions (e.g., short 
and long versions or foreign-language versions) are prepared, keep an 
unaltered copy of each version for record purposes.
    (d) Link audiovisual records with their finding aids, including 
captions and published and unpublished catalogs, inventories, indexes, 
and production files and similar documentation created in the course of 
audiovisual production. Establish and communicate agency-wide, clear 
captioning standards, procedures, and responsibilities.
    (e) Maintain current and accessible documentation identifying 
creators of audiovisual products, their precise relationship to the 
agency, and the nature and status of copyright or other rights 
affecting the present and future use of items acquired from sources 
outside the agency. (See Sec.  1222.30 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.


Sec.  1237.22  What are special considerations in the storage and 
maintenance of cartographic and related records?

    Agencies must:
    (a) Maintain permanent and unscheduled cartographic, architectural, 
and engineering records in an environment that does not exceed 70 
degrees Fahrenheit and with relative humidity under 50%.
    (b) Create an identification scheme for each series and assign 
unique identification designations to each item within a series.
    (c) Maintain lists or indexes for each series with cross-references 
to related textual records.
    (d) Avoid interfiling separate series of maps, charts, or drawings, 
and file permanent cartographic and architectural records separately 
from temporary series unless hand-corrected versions have been 
systematically filed with other published maps in a central or master 
file.
    (e) Avoid rolling and folding maps and drawings. Store permanent 
maps and drawings flat in shallow drawer map cases in acid-free 
folders.

[[Page 45304]]

    (f) Do not laminate original oversize records. Consult NARA (NWT) 
for preservation, storage, and treatment options.


Sec.  1237.24  What are special considerations for storage and 
maintenance of aerial photographic records?

    (a) Mark each aerial film container with a unique identification 
code to facilitate identification and filing.
    (b) Mark aerial film indexes with the unique aerial film 
identification codes or container codes for the aerial film that they 
index. Also, file and mark the aerial indexes in such a way that they 
can easily be retrieved by area covered.


Sec.  1237.26  What materials and processes must agencies use to create 
audiovisual records?

    Agencies must:
    (a) For picture negatives and motion picture preprints (negatives, 
masters, and all other copies) of permanent, long-term temporary, or 
unscheduled records, use polyester base media and process in accordance 
with industry standards as specified in ISO 18906: 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 Sec.  1235.48(e) of this chapter. For 
temporary digital photographs, agencies select formats that they deem 
most suitable for fulfillment of business needs.


Sec.  1237.28  What special concerns apply to digital photographs?

    Digital photographs, either originating in digital form (``born-
digital'') or scanned from photographic prints, slides, and negatives, 
are subject to the provisions of this part and the requirements of 36 
CFR part 1236, and NARA guidance for digital photographs located on the 
following NARA Web page--http://www.archives.gov/records-mgmt/initiatives/digital-photo-records.html. In managing digital 
photographs, agency and contractor personnel must:
    (a) Schedule digital photographs and related databases as soon as 
possible for the minimum time needed for agency business and transfer 
the records promptly according to the records schedule.
    (b) Select image management software and hardware tools that will 
meet long-term archival requirements, including transfer to the 
National Archives of the United States, as well as business needs. 
Additional information and assistance is available from 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 Sec.  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.

[[Page 45305]]

Sec.  1237.30  How do agencies manage records on nitrocellulose-base 
and cellulose-acetate base film?

    (a) The nitrocellulose base, a substance akin to gun cotton, is 
chemically unstable and highly flammable. Agencies must handle 
nitrocellulose-base film (used in the manufacture of sheet film, 35 mm 
motion pictures, aerial and still photography into the 1950s) as 
specified below:
    (1) Remove nitrocellulose film materials (e.g. 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 cellulose-acetate film periodically for 
an acetic odor, wrinkling, or the presence of crystalline deposits on 
the edge or surface of the film that indicate deterioration. Agencies 
must notify 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


Sec.  1238.1  What is the scope of this part?

    This part covers the standards and procedures for using 
micrographic technology in the management of Federal records.


Sec.  1238.2  What are the authorities for this part?

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


Sec.  1238. 3  What definitions apply to this part?

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


Sec.  1238. 4  What standards are used 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).


Sec.  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 Photography-Density Measurements--Part 3: 
Spectral Conditions.
    ISO 18901:2002, Imaging materials--Processed silver-gelatin type 
black-and-white 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 Practice-
Specifications for 16mm and 35mm Roll Microfilm.
    ANSI/AIIM MS19-1993, August 18, 1993, Standard Recommended 
Practice-Identification of Microforms.
    ANSI/AIIM MS23-1998, June 2, 1998, Standard Recommended Practice-
Production, Inspection, and Quality Assurance of First-Generation, 
Silver Microforms of Documents.
    ANSI/AIIM MS32-1996, February 16, 1996, Standard Recommended 
Practice-Microrecording of Engineering Source Documents on 35mm 
Microfilm.

[[Page 45306]]

    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


Sec.  1238.10  What are the format standards for microfilming records?

    The following formats must be used when microfilming records:
    (a) Roll film.
    (1) Source documents. The formats described in ANSI/AIIM MS14-1996 
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.


Sec.  1238.12  What documentation is required for microfilmed records?

    Agencies must ensure that the microforms capture all information 
contained on the source documents and that they can be used for the 
purposes the source documents served. Microform records must be labeled 
and organized to support easy retrieval and use. Agencies must:
    (a) Arrange, describe, and index the filmed records to permit 
retrieval of any particular document or component of the records.
    (b) Title each microform roll or fiche with a titling target or 
header. For fiche, place the titling information in the first frame if 
the information will not fit on the header. At a minimum, titling 
information must include:
    (1) The title of the records;
    (2) The number or identifier for each unit of microform;
    (3) The security classification, if any; and
    (4) The name of the agency and sub-organization, the inclusive 
dates, names, or other data identifying the records to be included on a 
unit of microform.
    (c) Add an identification target showing the date of microfilming. 
When necessary to give the microform copy legal standing, the target 
must also identify the person who authorized the microfilming. Use 
ANSI/AIIM MS19-1993 for standards for identification targets.


Sec.  1238.14  What are the microfilming requirements for permanent and 
unscheduled records?

    (a) Agencies must apply the standards in this section when 
microfilming:
    (1) Permanent paper records where the original paper record will be 
destroyed (only after authorization from NARA);
    (2) Unscheduled paper records where the original paper record will 
be destroyed; 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:

[[Page 45307]]



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

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

----------------------------------------------------------------------------------------------------------------
                                                     Density                                          Minimum
          Film type                 Process        measurement     Min. Dmax \1\   Max. Dmin \1\      density
                                                      method                                        difference
----------------------------------------------------------------------------------------------------------------
Silver gelatin...............  Conventional....  Printing or                0.75            0.15            0.60
                                                  diffuse.
Silver gelatin...............  Full reversal...  Printing.......            1.50            0.20            1.30
----------------------------------------------------------------------------------------------------------------
\1\ Character or line density, measured with a microdensitometer or by comparing the microfilm under a
  microscope with an image of a known density.

    (3) Base plus fog density of microfilms. The base plus fog density 
of unexposed, processed microfilms must not exceed 0.10. When a tinted 
base film is used, the density will be increased. The difference must 
be added to the values given in the tables in paragraph (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.


Sec.  1238.16  What are the microfilming requirements for temporary 
records, duplicates, and user copies?

    (a) Temporary records with a retention period over 99 years. 
Agencies must use the microfilming requirements in Sec.  1238.14.
    (b) Temporary records to be kept for less than 99 years, 
duplicates, and user copies. NARA does not require the use of specific 
standards for these microforms. Agencies may select a film stock that 
meets their needs and ensures the preservation of the microforms for 
their full retention period. NARA recommends that agencies consult 
appropriate standards, available as noted in Sec.  1238.3, and 
manufacturer's instructions for processing production, and maintenance 
of microform to ensure that the images are accessible and usable for 
the entire retention period of the records.

Subpart C--Storage, Use, and Disposition of Microform Records


Sec.  1238.20  How must microform records be stored?

    (a) Permanent and unscheduled records. Agencies must store 
permanent and unscheduled microform records under the extended term 
storage conditions specified in ISO 18911:2000 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 Sec.  1238.3 for availability) 
for measures that can be used to meet retention requirements.


Sec.  1238.22  What are the inspection requirements for permanent and 
unscheduled microform records?

    (a) Agencies must inspect, or arrange for a contractor or NARA to 
inspect master 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 Sec.  1238.20(a).
    (e) The agency must prepare an inspection report, and send a copy 
to NARA in accordance with Sec.  1238.28(c). The inspection report must 
contain:
    (1) A summary of the inspection findings, including:
    (i) A list of batches by year that includes the identification 
numbers of microfilm rolls and microfiche in each batch;
    (ii) The quantity of microforms inspected;
    (iii) An assessment of the overall condition of the microforms;
    (iv) A summary of any defects discovered, e.g., redox blemishes or 
base deformation; and
    (v) A summary of corrective actions taken.
    (2) A detailed inspection log created during the inspection that 
contains the following information:

[[Page 45308]]

    (i) A complete description of all records inspected (title; roll or 
fiche number or other unique identifier for each unit of film 
inspected; security classification, if any; and inclusive dates, names, 
or other data identifying the records on the unit of film);
    (ii) The date of inspection;
    (iii) The elements of inspection (see paragraph (d) of this 
section);
    (iv) Any defects uncovered; and
    (v) The corrective action taken.
    (f) If an inspection finds that a master microform is 
deteriorating, the agency must make a silver duplicate in accordance 
with Sec.  1238.14 to replace the deteriorating master. The duplicate 
microform must meet inspection requirements (see Sec.  1238.22) before 
it may be transferred to a record center or NARA.
    (g) Inspections must be conducted in environmentally controlled 
areas in accordance with ANSI/AIIM MS45-1990.


Sec.  1238.24  What are NARA inspection requirements for temporary 
microform records?

    NARA recommends, but does not require, that agencies use the 
inspection procedures described in Sec.  1238.22(a).


Sec.  1238.26  What are the restrictions on use for permanent and 
unscheduled microform records?

    (a) Agencies must not use the silver gelatin master microform or 
duplicate silver gelatin microform of permanent or unscheduled records 
created in accordance with Sec.  1238.14 of this part for reference 
purposes. Agencies must ensure that the master microform remains clean 
and undamaged during the process of making a duplicating master.
    (b) Agencies must use duplicates for:
    (1) Reference;
    (2) Further duplication on a recurring basis;
    (3) Large-scale duplication; and
    (4) Distribution of records on microform.
    (c) Agencies retaining the original record in accordance with an 
approved records disposition schedule may apply agency standards for 
the use of microform records.


Sec.  1238.28  What must agencies do when sending permanent microform 
records to a records storage facility?

    Agencies must:
    (a) Follow the procedures in part 1232 of this chapter and the 
additional requirements in this section.
    (b) Package non-silver copies separately from the silver gelatin 
original or silver duplicate microform copy and clearly label them as 
non-silver copies.
    (c) Include the following information on the transmittal (SF 135 
for NARA Federal Records Centers), or in an attachment to the 
transmittal. For records sent to an agency records center or commercial 
records storage facility, submit this information to NARA as part of 
the documentation required by Sec.  1232.14 of this 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 
Sec.  1238.22(e).
    (d) Agencies may transfer permanent microform records to a records 
storage facility meeting the storage requirements in Sec.  1232.14(a) 
(see Sec.  1233.10 of this 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.


Sec.  1238.30  What must agencies do when transferring permanent 
microform records to the National Archives of the United States?

    Agencies must:
    (a) Follow the procedures in part 1235 of this 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 Sec.  1232.14(c).
    (c) Transfer the silver gelatin original (or duplicate silver 
gelatin microform created in accordance with Sec.  1238.14) plus one 
microform copy.
    (d) Ensure that the inspections of the microforms are up to date. 
NARA will not accession permanent microform records until the first 
inspection has been performed (when the microforms are 2 years old).
    (e) Package non-silver copies separately from the silver gelatin 
original or silver duplicate microform copy, and clearly label them as 
non-silver copies.


Sec.  1238.32  Do agencies need to request NARA approval for the 
disposition of all microform and source records?

    (a) Permanent or unscheduled records. Agencies must schedule both 
source documents (originals) and microforms. NARA must approve the 
schedule, SF 115, Request for Records Disposition Authority; in 
accordance with part 1225 of this chapter before any records, including 
source documents, may be destroyed.
    (1) Agencies that comply with the standards in Sec.  1238.14 must 
include on the SF 115 the following certification: ``This certifies 
that the records described on this form were (or will be) microfilmed 
in accordance with the standards set forth in 36 CFR part 1238.''
    (2) Agencies using microfilming methods, materials, and procedures 
that do not meet the standards in Sec.  1238.14(a) must include on the 
SF 115 a description of the system and standards used.
    (3) When an agency intends to retain the silver original microforms 
of permanent records and destroy the original records, the agency must 
certify in writing on the SF 115 that the microform will be stored in 
compliance with the standards of Sec.  1238.20 and inspected as 
required by Sec.  1238.22.
    (b) Temporary records. Agencies do not need to obtain additional 
NARA approval when destroying scheduled temporary records that have 
been microfilmed. The same approved retention period for temporary 
records is applied to microform copies of these records. The original 
records can be destroyed once microfilm is verified, unless legal or 
other requirements prevent their early destruction.

PART 1239--PROGRAM ASSISTANCE AND INSPECTIONS

Subpart A--General
Sec.
1239.1 What is the scope of this part?
1239.2 What are the authorities for 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.

[[Page 45309]]

Subpart A--General


Sec.  1239.1  What is the scope of this part?

    NARA's statutory authorities include assisting agencies in carrying 
out their records management responsibilities and, when necessary, 
inspecting agency programs and reporting to Congress on those 
inspections. Part 1239 identifies the types of records management 
guidance and program assistance NARA provides to agencies under its 44 
U.S.C. chapter 29 mandate; the conditions under which NARA will invoke 
its inspection authority, also under chapter 29; and the requirements 
for agencies to cooperate fully in such inspections.


Sec.  1239.2  What are the authorities for this part?

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


Sec.  1239.3  What definitions apply to this part?

    (a) See Sec.  1220.18 of this subchapter for definitions of terms 
used in Part 1239.
    (b) As used in Part 1239--
    Inspection means a formal review and report by NARA under 44 U.S.C. 
2904(c) and 2906(a) of an agency's recordkeeping processes that focus 
on significant records management problems affecting records at risk 
that meet one or more of the following criteria:
    (1) Have a direct and high impact on legal rights or government 
accountability;
    (2) Are the subject of high profile litigation, Congressional 
attention, or widespread media coverage;
    (3) Have high research potential; or
    (4) Are permanent records with a large volume, regardless of 
format.


Sec.  1239.4  What standards are used as guidance for this part?

    These regulations conform 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


Sec.  1239.10  What program assistance does NARA provide?

    (a) NARA publishes handbooks, conducts workshops and other training 
sessions, and furnishes information and guidance to Federal agencies 
about the creation of records, their maintenance and use, and their 
disposition. NARA also may conduct a targeted assistance project in 
cooperation with an agency to address a serious records management 
issue in the agency.
    (b) Information on NARA handbooks and guidance is available at 
http://www.archives.gov/records-mgmt/.
    (c) Information on NARA training is available at http://www.archives.gov/records-mgmt/training/.


Sec.  1239.12  Whom may agencies contact to request program assistance?

    Agencies in the Washington, DC, area desiring information or 
assistance related to any of the areas covered by subchapter B may 
contact the 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


Sec.  1239.20  When will NARA undertake an inspection?

    NARA may undertake an inspection when an agency fails to address 
specific records management problems involving high risk to significant 
records. Problems may be identified through a risk assessment or 
through other means, such as reports in the media, Congressional 
inquiries, allegations of unauthorized destruction, reports issued by 
the GAO or an agency's Inspector General, or observations by NARA staff 
members. Inspections will be undertaken when other NARA program 
assistance efforts (see Sec.  1239.10) have failed to mitigate 
situations where there is a high risk of loss of significant records, 
or when NARA agrees to a request from the agency head that NARA conduct 
an inspection to address specific significant records management issues 
in the agency.


Sec.  1239.22  How does NARA notify the agency of the inspection?

    (a) Once NARA identifies the need to conduct an agency inspection, 
the Archivist of the United States sends a letter to the head of the 
agency. If the agency being inspected is a component of a cabinet 
department, the letter will be addressed to the head of the component, 
with a copy sent to the head of the department. NARA will also send 
copies to the agency's records officer. The letter will include:
    (1) Notification that NARA intends to conduct an inspection, the 
records that will be inspected, and the issues to be addressed;
    (2) A beginning date for the inspection that is no more than 30 
days after the date of the letter; and
    (3) A request that the agency appoint a point of contact who will 
assist NARA in conducting the inspection.
    (b) If the agency does not respond to NARA's notification letter, 
NARA will use its statutory authority under 44 U.S.C. 2904(c)(8) to 
report the matter to the agency's congressional oversight committee and 
to the Office of Management and Budget.


Sec.  1239.24  How does NARA conduct an inspection?

    (a) The NARA inspection team leader will coordinate with the agency 
point of contact to arrange an initial meeting with the agency. The 
initial meeting will address such matters as the parameters of the 
inspection, any surveys or other inspection instruments, the offices to 
be visited, and the timing of site visits.
    (b) After the inspection is complete, NARA will prepare a draft 
inspection report and transmit it to the agency within 45 calendar days 
of the last site visit. The report will include:
    (1) An executive summary;
    (2) Background and purpose of inspection;
    (3) Inspection methodology, including offices visited;
    (4) Findings;
    (5) Corrective actions needed and other recommendations; and
    (6) Any necessary appendixes, such as summaries of each site visit 
or the inspection instrument.
    (c) The draft report is sent to the agency for review, with a 
response deadline of 45 days.
    (d) NARA will incorporate any necessary corrections or revisions in 
the final report and issue the report to the head of the agency within 
45 days.


Sec.  1239.26  What are an agency's follow up obligations for an 
inspection report?

    The agency must submit a plan of corrective action that specifies 
how the agency will address each inspection report recommendation, 
including a timeline for completion, and proposed progress reporting 
dates. The agency must submit the plan of corrective action to NARA 
within 60 days of transmission of the final report. NARA may take up to 
60 days to review and comment on the plan. Once the plan is agreed upon 
by both sides, agencies must submit progress reports to NARA until all 
actions are completed.

[[Page 45310]]

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`