Source: https://www.ecfr.gov/cgi-bin/retrieveECFR?gp=&mc=true&r=PART&n=pt36.3.1223
Timestamp: 2019-12-14 17:29:20
Document Index: 648650369

Matched Legal Cases: ['art 1223', 'ART 1223', '§1223', 'art 1223', '§1223', '§1223', 'art 1223', '§1223', '§1223', 'art 1223', '§1223', '§1223', '§1223', '§1223', '§1223', '§1223', '§1223', '§1220', 'art 1223', 'art 1223', 'art 51', '§1223', 'art 1223', '§1223', '§1233', 'art 1225']

Title 36 → Chapter XII → Subchapter B → Part 1223
PART 1223—MANAGING VITAL RECORDS
§1223.1 What are the authorities for Part 1223?
§1223.2 What definitions apply to this part?
§1223.3 What standards are used as guidance for Part 1223?
§1223.4 What publications are incorporated by reference in this part?
§1223.10 What is the purpose of Part 1223?
§1223.12 What are the objectives of a vital records program?
§1223.14 What elements must a vital records program include?
§1223.16 How are vital records identified?
§1223.18 Must vital records be in a particular form or format?
§1223.20 What are the requirements for accessing vital records during an emergency?
§1223.22 How must agencies protect vital records?
§1223.24 When can vital records be destroyed?
Authority: 44 U.S.C. 3101; E.O. 12656, 53 FR 47491, 3 CFR, 1988 Comp., p. 585; E.O. 13231, 66 FR 53063, 3 CFR, 2001 Comp., p. 805.
(a) The authorities for this part are 44 U.S.C. 3101; Executive Orders 12656, Assignment of Emergency Preparedness Responsibilities, and 13231, Critical Infrastructure Protection in the Information Age; and National Security Presidential Directive (NSPD 51)/Homeland Security Presidential Directive (HSPD-20) or applicable successor directives. These authorities require the head of each agency to make and preserve records that contain adequate and proper documentation of the organization and to perform national security emergency preparedness functions.
(b) These regulations are in conformance with guidance provided in Federal Continuity Directive (FCD) 1, Federal Executive Branch National Continuity Program and Requirements, and FCD 2, Federal Executive Branch Mission Essential Function and Primary Mission Essential Function Identification and Submission Process.
(a) See §1220.18 of this subchapter for definitions of terms used throughout Subchapter B, including part 1223.
(b) As used in part 1223—
These regulations conform with guidance provided in ISO 15489-1:2001. Paragraphs 4 (Benefits of records management), Paragraphs 7.1 (Principles of records management programmes) and 9.6 (Storage and handling) apply to vital records.
(a) NARA incorporates certain material by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, NARA must publish a document in the Federal Register and the material must be available to the public. You may inspect all approved material incorporated by reference at NARA's textual research room, located at National Archives and Records Administration; 8601 Adelphi Road; Room 2000; College Park, MD 20740-6001. To arrange to inspect this approved material at NARA, contact NARA's Regulation Comments Desk (Strategy and Performance Division (MP)) by email at regulation__comments@nara.gov or by telephone at 301.837.3151. All approved material is also available from the sources listed below. You may also inspect approved material at the Office of the Federal Register (OFR). For information on the availability of this material at the OFR, call 202.741.6000 or go to http://www.archives.gov/federal__register/cfr/ibr-locations.html.
(b) Federal Emergency Management Agency (FEMA), Department of Homeland Security (DHS); P.O. Box 2012; 8231 Stayton Drive; Jessup, MD 20794-2012, phone number (800) 480-2520; https://www.fema.gov/guidance-directives.
(1) Federal Continuity Directive 1 (“FCD 1”): Federal Executive Branch National Continuity Program and Requirements, February 2008, IBR approved for §1223.14.
[83 FR 13653, Mar. 30, 2018]
Part 1223 specifies policies and procedures needed to establish a program to identify, protect, and manage vital records as part of an agency's continuity of operation plan designed to meet emergency management responsibilities.
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.
To achieve compliance with this section, an agency's vital records program must contain all elements listed in FCD 1, Annex I (incorporated by reference, see §1223.4). In carrying out a vital records program, agencies must:
(b) Appropriately inform all staff about vital records;
(d) Ensure that vital records are adequately protected, accessible, and immediately usable.
Agencies identify vital records in the context of the emergency management function. Vital records are those that are needed to perform the most critical functions of the agency and those needed to protect legal and financial rights of the Government and of the persons affected by its actions. Vital records also include emergency plans and related records that specify how an agency will respond to an emergency. The informational content of records series and electronic records systems determines which are vital records. Only the most recent and complete sources of the information are vital records.
(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.
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.
Agencies must take appropriate measures to ensure the survival of the vital records or copies of vital records in case of an emergency.
(a) Duplication. Agencies may choose to duplicate vital records as the primary protection method. Duplication can be to the same medium as the original record or to a different medium. When agencies choose duplication as a protection method, the copy of the vital record stored off-site is normally a duplicate of the original record. The agency may store the original records off-site if their protection is necessary, or if it does not need to keep the original records at its normal place of business.
(b) Dispersal. Once records are duplicated, they must be dispersed to sites a sufficient distance away to avoid being subject to the same emergency. Dispersal sites may be other office locations of the same agency or some other site.
(c) Storage considerations. Copies of emergency operating vital records must be accessible in a very short period of time for use in the event of an emergency. Copies of legal and financial rights records may not be needed as quickly. In deciding where to store vital record copies, agencies must treat records that have the properties of both categories, that is, emergency operating and legal and financial rights records, as emergency operating records.
(1) The off-site copy of legal and financial rights vital records may be stored at an off-site agency location or, in accordance with §1233.12 of this subchapter, at a records storage facility.
(2) When using a NARA records storage facility for storing vital records that are duplicate copies of original records, the agency must specify on the SF 135, Records Transmittal and Receipt, that they are vital records (duplicate copies) and the medium on which they are maintained. The agency must also periodically cycle (update) them by removing obsolete items and replacing them with the most recent version.
The disposition of vital records that are original records is governed by records schedules approved by NARA (see part 1225, Scheduling Records, of this subchapter). Agencies must not destroy original records that are not scheduled. Duplicate copies created and maintained for vital records purposes only may be destroyed when superseded or obsolete during the routine vital records cycle process.