[Federal Register Volume 61, Number 86 (Thursday, May 2, 1996)]
[Rules and Regulations]
[Pages 19552-19555]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-10888]
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
36 CFR Part 1228
RIN 3095-AA65
Disposition of Federal Records
AGENCY: National Archives and Records Administration (NARA).
ACTION: Final rule.
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SUMMARY: NARA is amending its regulations to require reimbursement for
certain records maintained in Federal records centers that have
exceeded the authorized disposal date. NARA has clarified in this final
rule that the requirement will not apply to records whose disposition
is stayed pending NARA action on a previously submitted record
schedule. NARA is taking this action because the Federal records
centers have a serious shortage of storage space and can no longer
absorb the cost of storing records beyond their scheduled disposal
date. NARA is also updating the addresses of the Federal records
centers.
EFFECTIVE DATE: The final rule is effective June 3, 1996.
FOR FURTHER INFORMATION CONTACT: Debra Leahy at 301-713-7210.
SUPPLEMENTARY INFORMATION: On September 26, 1995, NARA published a
notice of proposed rulemaking at 60 FR 49532. The 60-day comment period
ended on November 27, 1995, but NARA considered all written comments
received by December 4, 1995, in developing this final rule. Eight
comments, all from Federal agencies, were received. The following major
points were raised:
Agencies should not be required to pay for extended storage when
the hold on disposal is not under the control of the agency. Five
agencies stated that, in most cases, extended retention requirements
are levied by another office of the Federal Government in anticipation
of litigation, to meet a court order, or to resolve an issue with the
Government Accounting Office. One agency suggested that any storage
fees should be imposed on the organization that requested the hold on
disposal.
It is not NARA's intent to impose a burden on agencies. NARA
believes that the reimbursement plan is a reasonable solution that will
benefit both the agencies and the Federal records centers. In the past,
NARA has absorbed the cost of storing temporary records that have
exceeded their authorized disposition date. However, because of the
continued growth of records in this category, NARA can no longer pay
for the space needed to store such records. Without reimbursement, NARA
will be forced, in the near future, to return the records to the
agencies for further retention.
Like the agencies, NARA has no means of projecting when a court-
ordered or GAO disposal suspension will occur or how many records will
be affected. In some cases, entire record groups have been placed under
disposal suspension. Legal custody of temporary records remains with
the agency even though the records are stored in a Federal records
center. Therefore, NARA must request reimbursement from the legal
custodian of the records rather than from the imposer of the disposal
suspension. NARA recommends that agencies work with their attorneys and
records officials, the Department of Justice attorneys and GAO
officials when applicable, to narrow the scope of records required for
litigations and audits.
Three agencies pointed out circumstances where NARA has rescinded
disposal authority pending re-appraisal of potentially permanent
records; where an SF 115, Request for Disposition Authority, had been
submitted to NARA to approve a change in the scheduled disposition;
where unscheduled records accepted for accessioning into a Federal
Records Center (FRC) required screening to separate permanent from
disposable records; and where an agency must work with NARA to
reconcile conflicting mandated retention periods for contractor-
generated records. NARA has never intended to require reimbursement for
continued storage of records where the disposition of the records is
contingent on NARA action. We have clarified Sec. 1228.54(g) on this
point.
We have also modified Sec. 1228.54 (g) to provide that NARA will
waive fees for extended storage when the administrative cost to NARA
for the agreement and billing would exceed the fees expected to be
received. For the remainder of FY 1996, the threshold for waiving fees
will be $100 based on the agency's total records center holdings
subject to the fee. NARA will bill the headquarters office rather than
individual offices or units.
One agency noted that occasionally, when NARA sends a destruction
notice, an agency will discover that records were retired to the FRC
under the wrong disposal authority and that the correct retention
period is longer. There will be no charge for the extended storage
period for correction of this error.
Removal of records from FRC space. If agencies do not wish to
reimburse NARA for continued storage of records for the extended
retention period, the proposed rule would require agencies to remove
the records within 60 days. One agency recommended that Sec. 1228.54(g)
be amended to require removal within 90 days from the date of
notification to ensure that agencies had sufficient time to effect the
arrangements for removal. NARA has adopted this comment.
Another agency commented that it would be more costly for agencies
to store returned records in their office space and that NARA
discourages agency records centers in another section of Part 1228 by
requiring agencies to obtain NARA approval to establish agency records
centers. NARA recognizes the agency's argument that FRC storage space
is generally more economical than storage in agency office space. The
purpose of the cited regulatory requirement is to ensure that agencies
comply with the records storage standards NARA imposes on itself to
protect the records and that the agency centers are as cost-effective
as FRC's. This regulatory provision is based on 44 U.S.C. which
requires NARA approval of agency-operated records centers.
Billing procedures. Two agencies asked for clarification of billing
procedures.
The billing procedure will be specified in the reimbursable
agreement that the agency and NARA will sign. NARA anticipates billing
agencies quarterly, based on the volume of retained holdings in the FRC
system on the last day of the quarter. Data for fourth quarter billing
will be cut off on August 31 of each year. Agencies may negotiate
alternate arrangements with the Office of Federal Records Centers that
will better serve the agency and NARA.
Effective date. Five agencies stated that the proposed January 1,
1996, effective date did not give agencies adequate lead time to budget
for the unplanned expenditure. Three of these agencies recommended a
delay in the effective date until FY 1997. Since agencies have already
submitted their FY 1997 budgets to OMB, NARA does not believe that a
delay to October 1, 1996, will materially affect the agencies' ability
to budget payments for extended storage fees. Moreover, as explained
previously, NARA cannot continue to absorb the cost we incur for the
extended storage of otherwise disposable records in FRC space. To
provide agencies time to enter into a reimbursable agreement with NARA
or to plan for the removal of affected records, we have revised the
effective date to June 3, 1996, in response to these comments.
Other comments. One agency pointed out that the list of
administrative purposes that justify a temporary extension were stated
differently in the proposed Secs. 1228.32(b) and 1228.54(g) and that a
reference in Sec. 1228.54(a) to paragraph (g) in that section should be
changed to Sec. 1228.32(b). We have made both of these changes.
Section 1228.54(a) also refers to a procedure specified in
Sec. 1228.164 for obtaining a temporary extension in
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retention period for a single accession. We have clarified
Sec. 1228.164(c) to provide that agencies may use this procedure to
extend the retention period for an individual accession for no longer
than 6 months. Normally agencies request an extension under
Sec. 1228.164(c) to allow time for a review of the records, to request
a series level retention period change from the NARA Office of Records
Administration (NIR), or to withdraw the records from the records
center. No charge would accrue to the agency for extended records
storage under this provision; however the extension will not be
renewed.
The same agency commented that NARA needs to know about proposed
temporary extensions of records retention periods only when the records
are stored in an FRC and recommended that this clarification be added
to Sec. 1228.32(b). We have not adopted this comment because it is
incorrect. A retention period that is specified in a NARA-approved
agency records schedule or in a General Records Schedule is mandatory
by law; the agency may not retain temporary records beyond that date
without NARA approval whether the records are located in agency space,
FRC space, or other space.
Addresses of Federal records centers. In this final rule, we are
also updating or correcting the addresses of the Federal records
centers listed in Sec. 1228.150, and adding the Pittsfield, MA, Federal
records center. The introductory paragraph to this section is
unchanged.
This rule is a significant regulatory action under E.O. 12866 of
September 30, 1993 and has been reviewed by OMB. As required by the
Regulatory Flexibility Act, it is hereby certified that this rule will
not have a significant impact on small entities.
List of Subjects in 36 CFR Part 1228
Archives and records.
For the reasons set forth in the preamble, 36 CFR part 1228 is
amended as follows:
PART 1228--DISPOSITION OF FEDERAL RECORDS
1. The authority citation for part 1228 continues to read as
follows:
Authority: 44 U.S.C. chs 21, 29, and 33.
2. Section 1228.32 is revised to read as follows:
Sec. 1228.32 Request to change disposition authority.
(a) Agencies desiring to change the approved retention period of a
series or system of records shall submit an SF 115. Disposition
authorities contained in approved SF 115 are automatically superseded
by approval of a later SF 115 applicable to the same records unless the
later SF 115 specified an effective date. Agencies submitting revised
schedules shall indicate on the SF 115 the relevant schedule and item
numbers to be superseded, the citation to the current printed records
disposition schedule, if any, and/or the General Records Schedules and
item numbers that cover the records.
(b) Agencies proposing to change the retention period of a series
or system of records shall submit with the SF 115 an explanation and
justification for the change. The need to retain records longer than
the retention period specified in the disposition instructions on an
approved SF 115 for purposes of audit, court order, investigation,
litigation, study, or any other administrative purpose that justifies
the temporary extension of the retention period shall be governed by
the procedures set forth in Sec. 1228.54. Agencies shall not submit an
SF 115 to change the retention period in such cases.
3. Section 1228.54 is amended by revising paragraphs (a) and (g)
and adding paragraph (h) to read as follows:
Sec. 1228.54 Temporary extension of retention periods.
(a) Approved agency records schedules and the General Records
Schedules are mandatory (44 U.S.C. 3303a). Except as specified in
Sec. 1228.32(b), records series or systems approved for destruction
shall not be maintained longer without the prior written approval of
the National Archives and Records Administration (NIR). However,
extended retention of an individual shipment of records to a Federal
Records Center for a period up to 6 months is governed by procedures in
Sec. 1228.164(c).
* * * * *
(g) Except when NARA agrees to continue to store and service
records on a reimbursable basis or waives the requirements of this
paragraph under a condition specified in paragraph (h) of this section,
agencies shall remove from Federal records centers at the agency's
expense records that, because of audit, court order, investigation,
litigation, study, or any other administrative reason the agency wishes
to retain longer than the scheduled retention period for the records.
The removal of records must be accomplished within 90 days of the date
of the notification from the Federal records center that the retention
period has expired. Agencies that wish to establish an agreement or
inquire about their records should write to NARA, Office of Federal
Records Centers (NC), 8601 Adelphi Road, College Park, MD 20740-6001.
(h) NARA will waive the requirements specified in paragraph (g) of
this section when:
(1) The temporary extension of retention period has been imposed by
NARA, for instance when NARA plans to reappraise the archival value of
records or when NARA is working on a new or revised General Records
Schedule item;
(2) The agency has submitted an SF 115, Request for Disposition
Authority, to NARA to request a change in the scheduled disposition of
a series of records;
(2) NARA and the agency mutually agree that temporary extension is
required to meet exceptional records management situations such as a
NARA-agency screening project to separate permanent from disposable
records or application of a new records disposition schedule to
previously unscheduled records; or
(3) The administrative cost to NARA to implement a reimbursable
agreement would exceed the reimbursement received.
4. In Sec. 1228.150, the table set forth at the end of the section
is revised to read as follows:
Sec. 1228.150 Authority.
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Area served Federal records center
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District of Columbia, Maryland, West Washington National Records
Virginia, and Virginia (except U.S. Center, 4205 Suitland Rd.,
Court records). Washington, DC 20409-0002.
Designated records of the Military National Personnel Records
Departments and the U.S. Coast Guard. Center (Military Personnel
Records), 9700 Page Ave., St.
Louis, MO 63132-5100.
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The entire Federal Government personnel National Personnel Records
records of separated Federal Center (Civilian Personnel
employees; medical and pay records of Records), 111 Winnebago St.,
all Federal employees; designated St. Louis, MO 63118-4199.
medical records of Army and Air Force
military personnel and their
dependents; and records of agencies in
the St. Louis area (Missouri only), of
Scott AFB, IL, and of the Memphis
Service Center, Internal Revenue
Service.
National collection of long term Federal Records Center, 100 Dan
records. Fox Dr., Pittsfield, MA 01201-
8230.
Maine, Vermont, New Hampshire, Federal Records Center, 380
Massachusetts, Connecticut, and Rhode Trapelo Rd., Waltham, MA 02154-
Island. 6399.
New York, New Jersey, Puerto Rico, and Federal Records Center,
the Virgin Islands. Military Ocean Terminal, Bldg.
22, Bayonne, NJ 07002-5388.
Delaware, Pennsylvania, and U.S. court Federal Records Center, 14700
records for Maryland, Virginia, and Townsend Rd., Philadelphia, PA
West Virginia. 19154-1025.
North Carolina, South Carolina, Federal Records Center, 1557
Tennessee, Mississippi, Alabama, St. Joseph Ave., East Point,
Georgia, Florida, and Kentucky. GA 30344-2593.
Illinois, Wisconsin, Minnesota, and Federal Records Center, 7358 S.
U.S. court records for Indiana, Pulaski Rd., Chicago, IL 60629-
Michigan, and Ohio. 5898.
Indiana, Michigan, and Ohio except for Federal Records Center, 3150
U.S. court records. Springboro Drive, Dayton, OH
45439-1883.
Kansas, Iowa, Nebraska, and Missouri Federal Records Center, 2312 E.
except greater St. Louis area. Bannister Rd., Kansas City, MO
64131-3060.
Texas, Oklahoma, Arkansas, Louisiana, Federal Records Center, P.O.
and New Mexico. Box 6216, Fort Worth, TX 76115-
0216.
Colorado, Wyoming, Utah, Montana, North Federal Records Center, Denver
Dakota, and South Dakota. Federal Center Bldg. 48, P.O.
Box 25307, Denver, CO 80225-
0307.
Nevada except Clark County, California Federal Records Center, 1000
except southern California, American Commodore Dr., San Bruno, CA
Samoa. 94066-2350.
Arizona; Clark County, Nevada, and Federal Records Center, 24000
southern California (counties of San Avila Rd., P.O. Box 6719,
Luis Obispo, Kern, San Bernadino, Laguna Niguel, CA 92607-6719.
Santa Barbara, Ventura, Orange, Los
Angeles, Riverside, Inyo, Imperial,
and San Diego).
Washington, Oregon, Idaho, Alaska, Federal Records Center, 6125
Hawaii, and Pacific Ocean area (except Sand Point Way NE., Seattle,
American Samoa). WA 98115-7999.
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5. Section 1228.164 is amended by revising paragraph (c) to read as
follows:
Sec. 1228.164 Disposal clearances for records in Federal records
centers.
* * * * *
(c) Other records of Federal agencies held by Federal records
centers will be destroyed with the concurrence of the agency concerned
by use of NA Form 13001, Notice of Intent to Destroy Records, or other
written concurrence for each disposal action. If an agency is notified
of the eligibility of its records for disposal and the agency fails to
respond to this notification within 90 calendar days, the records will
be destroyed in accordance with the appropriate disposition authority.
If an agency does not concur in the scheduled destruction of an
accession, the agency may request extended retention of the records for
up to an additional 6 months by submitting written justification,
including a new disposal date, within 90 days to the records center
director. Further extensions must be requested in accordance with
Sec. 1228.54 of this part.
Dated: December 27, 1995
John W. Carlin,
Archivist of the United States.
[FR Doc. 96-10888 Filed 5-1-96; 8:45 am]
BILLING CODE 7515-01-P