[Federal Register Volume 60, Number 186 (Tuesday, September 26, 1995)]
[Proposed Rules]
[Pages 49532-49533]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-23818]



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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

36 CFR Part 1228

RIN 3095-AA65


Disposition of Federal Records

AGENCY: National Archives and Records Administration.

ACTION: Proposed rule.

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SUMMARY: NARA proposes to amend its regulations to require 
reimbursement for all records maintained in Federal records centers 
that have exceeded the authorized disposal date. In connection with 
this requirement, NARA will stipulate that agencies should not request 
a change in the retention period specified in a records schedule for 
records that must be kept beyond their normal retention period for 
audit, investigation, litigation, or any other administrative purpose. 
NARA is taking this action because the Federal records centers have a 
serious shortage of storage space and can no longer absorb the cost of 
storing records beyond their scheduled disposal date.

DATES: Comments must be received by November 27, 1995.

ADDRESSES: Comments should be sent to Director, Policy and Planning 
Division (PIRM-POL), National Archives and Records Administration 8601 
Adelphi Road, College Park, MD 20740-6001.

FOR FURTHER INFORMATION CONTACT: Mary Ann Hadyka or Nancy Allard at 
301-713-6730.

SUPPLEMENTARY INFORMATION:

Background

    The Federal Records Act (FRA) confers broad authority on NARA to 
formulate and implement records management policy for the Federal 
government. This includes establishing Federal records centers (44 
U.S.C. 2907), providing guidance and promulgating standards to ensure 
adequate documentation of the policies and transactions of the Federal 
government, ensuring proper records disposition (44 U.S.C. 2904), and 
implementing procedures for the disposition, disposal, and reproduction 
of records (44 U.S.C. 3302).
    The Federal Records Act does not specifically instruct NARA 
regarding what records it must store at Federal Records Centers (FRCs) 
or the length of time for which it must store them. See 44 U.S.C. 2907. 
For that reason, NARA may determine the scope of service provided at 
FRCs, so long as NARA acts in a manner that it determines will best 
serve the public, effectuate sound records management, and implement 
the policy goals contained in the FRA. See B-211953, slip op. at 5 
(Dec. 7, 1984) (Comp. Gen.).
    In the Comptroller General decision just cited, the General 
Accounting Office (GAO) held that the General Services Administration 
(GSA), then NARA's parent agency, could be reimbursed under the Economy 
Act for storing and serving current records at FRCs because the 
function fell outside the range of services that GSA had determined it 
was required to provide under the FRA and because GSA did not receive 
appropriations for the service.
    The GAO decision recognized that NARA possesses the authority to 
``promulgate reasonable standards and guidelines for determining when 
records may be transferred from agency office space to Federal records 
centers (FRCs), so long as these guidelines are consistent with the 
statutory goals of promoting economy and efficiency in records 
management.'' B-211953, slip op. at 5. Further, GAO noted that it is 
NARA ``which must determine the basis on which it will allocate limited 
space and resources among client agencies.
    NARA historically has interpreted its authority to operate FRCs as 
permitting the storage and servicing of temporary records that are 
retained beyond their scheduled disposition dates for administrative, 
fiscal, legal, or other reasons, although it never sought 
appropriations for that purpose. Now, NARA has determined, based on the 
need to reallocate limited space and resources, that sound records 
management practice requires that it no longer interpret its 
responsibilities to include these functions. Therefore, unless Congress 
specifically appropriates money in the future for the storage and 
service of temporary records retained beyond their scheduled 
disposition dates for administrative, fiscal, legal, or other reasons, 
NARA will, under the Economy Act, provide such service on a 
reimbursable basis only, so long as doing so does not interfere with 
the agency's remaining responsibilities to operate FRCs.

Problem

    Since the establishment of the records center system in 1950, there 
has been a continuous growth in records holdings. Records center 
holdings, in fact, have increased from 45,000 cubic feet in 1950 to 
18,860,981 cubic feet as of April 1995. We expect the growth to 
accelerate with the closure of military bases and installations as a 
result of the Defense Base Closure and Realignment Act of 1990 (Pub. L. 
101-510) and general Government-wide downsizing.
    Currently, there are 13 Federal records centers and two National 
records centers. The availability of open space, however, continues to 
pose a critical challenge. Even with the addition of the Pittsfield 
FRC, the records center system reached 95 percent of its capacity by 
the end of FY 1994. It is only through the ongoing major redistribution 
of records to the Pittsfield FRC and the new FRC in Philadelphia that 
the records center system has been able to cope with records storage 
demands.
    The presence in records centers of temporary records that have 
exceeded their scheduled disposition dates has significantly 
contributed to the reduced storage capacity to meet records storage 
demands. Indeed, records centers holdings of these retained records 
have increased by over one million cubic feet in the past five years. 
In May 1990, the volume of these records was over two million cubic 
feet, about 12.5 percent of the total holdings for records centers. 
About 3.2 percent (531,374 cubic feet) of those records were otherwise 
eligible for disposal, but had to be retained. As of April 1995, 
records center holdings of these records had increased to 3,247,506 
cubic feet and approximately 38.8 

[[Page 49533]]
percent (1,259,416 cubic feet) had exceeded their authorized disposal 
date.
    With the continuing growth of these records, and the acceptance of 
new temporary records, including those from military base and 
installation closures and other downsizing Government agencies, the 
records center system can no longer absorb the cost of storing and 
servicing records that have exceeded their authorized disposal date. 
Moreover, agencies have no incentive under the present system to avoid 
either retaining these records indefinitely or retaining a broader 
category or greater number of records than is strictly necessary.

Proposed NARA Action

    To alleviate this problem and to enable NARA to continue to offer 
quality storage and service for temporary records that have not yet 
reached their disposal date, NARA proposes to amend 36 CFR 1228.54(g) 
to require reimbursement for records maintained in Federal records 
centers that have exceeded their authorized disposal date. NARA also 
proposes to amend 36 CFR 1228.32, which provides procedures for 
changing retention periods of series of records, to state that agencies 
should not request to change the scheduled retention period for records 
needed beyond their normal retention periods for temporary 
administrative purposes.
    Agencies who do not wish to negotiate an agreement for 
reimbursement will be required to arrange and pay for the return of the 
records to the agency. Upon publication of this proposed rule, NARA 
will notify all agencies that currently have temporary records 
otherwise eligible for immediate disposal in Federal records center 
space.
    We intend that the fee for the storage and service of temporary 
records retained beyond their scheduled disposal date will become 
effective on January 1, 1996. For the period from January 1 through 
September 30, 1996, the fee will be approximately $1.60 per cubic foot. 
The fee may be adjusted in subsequent fiscal years based on increases 
in rent and other overhead costs.
    This rule is a significant regulatory action under E.O. 12866 of 
September 30, 1993 and has been reviewed by OMB. As required by the 
Regulatory Flexibility Act, it is hereby certified that this rule will 
not have a significant impact on small entities.

List of Subjects in 36 CFR Part 1228

    Archives and records.
    For the reasons set forth in the preamble, NARA proposes to amend 
36 CFR part 1228 as follows:

PART 1228--DISPOSITION OF FEDERAL RECORDS

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

    Authority: 44 U.S.C. chapters 21, 29, and 31.

    2. Section 1228.32 is revised to read as follows:


Sec. 1228.32  Request to change disposition authority.

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


Sec. 1228.54 Temporary extension of retention periods.

* * * * *
    (g) Except when NARA agrees to continue to store and service 
records on a reimbursable basis, agencies shall remove from Federal 
records centers at the agency's expense records that, because of court 
order, investigation, audit, study, or any other administrative reason 
the agency wishes to retain longer than the scheduled retention period 
for the records. The removal of records must be accomplished within 60 
days of the date of the notification from the Federal records center 
that the retention period has expired. Agencies that wish to establish 
an agreement or inquire about their records should write to NARA, 
Office of Federal Records Centers (NC), 8601 Adelphi Road, College 
Park, MD 20740-6001.

    Dated: September 5, 1995.
John W. Carlin,
Archivist of the United States.
[FR Doc. 95-23818 Filed 9-25-95; 8:45 am]
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