[Federal Register Volume 64, Number 231 (Thursday, December 2, 1999)]
[Rules and Regulations]
[Pages 67662-67668]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-30838]
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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
36 CFR Parts 1220, 1222, and 1228
RIN 3095-AA86
Storage of Federal Records
AGENCY: National Archives and Records Administration.
ACTION: Final rule.
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SUMMARY: NARA is amending its records management regulations governing
records creation, maintenance, and disposition to update provisions
relating to the storage of Federal records. Current regulations focus
on the use of NARA records centers for off-site storage and provide
procedures for securing NARA approval of agency records centers.
However, in addition to records centers operated by NARA and other
Federal agencies, some agencies now use commercial records storage
facilities for the storage of their records. Among the changes is a new
requirement that agencies maintain the same level of intellectual
control over records stored in their own records centers and commercial
records storage facilities, as is required for records stored in NARA
records centers. As part of this requirement, agencies must report to
NARA when permanent or unscheduled records are sent for storage to an
agency records center or commercial storage facility. The revised
regulations specify that agencies must store Federal records in space
with appropriate environmental controls to ensure their preservation
until the expiration of their retention period (for temporary records)
or until the date of transfer to the National Archives of the United
States (for permanent records).
EFFECTIVE DATE: January 3, 2000.
FOR FURTHER INFORMATION CONTACT: Nancy Allard at 301-713-7360.
SUPPLEMENTARY INFORMATION: NARA published a notice of proposed
rulemaking on April 30, 1999, at 64 FR 23510. We considered all
comments that were received through July 7, 1999, the closing date for
comments on a related proposed rule, Agency Records Centers. We
received comments from 7 Federal agencies, the Society of American
Archivists, a commercial records center vendor, and a records
management consultant. Following is a discussion of these comments and
the changes that we made to the proposed rule.
Section 1220.18
One agency recommended that we modify Sec. 1220.18 to allow agency-
owner to inspect its records regardless of physical location (inspect
in FRCs). The cited provision deals with NARA access to records for
inspection for appraisal and evaluation purposes. The appropriate
vehicle for the provision recommended by the agency is the contract
with a commercial storage facility or the interagency agreement with
NARA or another agency operating an agency records center.
Section 1228.50(a)(1)
One agency found the discussion of published schedules confusing.
We have revised the paragraph to define what a published schedule
contains before noting what is not included in the published schedule.
Sections 1222.50(c) and 1228.154(f)
Three agencies offered comments on Sec. 1222.50(c). One agency
asked that we clarify that agencies did not have to remove records from
facilities if the noncompliance relates to a standard which must be
phased in during the next 10 years, and we have done so. Two agencies
stated that 6 months was not sufficient time to move records from
noncompliant facilities. One of the agencies recommended allowing at
least one year. The other agency, citing procurement lead times,
recommended moving permanent records if the facility is not brought up
to standards within 6 months and moving the remaining records within
another year. We have changed the requirement to provide that agencies
must initiate removal of records from a noncompliant center within 6
months and complete removal within 18 months after initial discovery of
the deficiencies. We have also modified Sec. 1228.154(f) to conform
with this change.
Section 1228.54
One agency asked that this section be modified to allow agencies to
retain records needed under court order or agency imposed moratorium
for longer than one year without NARA approval. Another agency
questioned the need for NARA approval of requests for extension of
retention periods for records stored in centers other than NARA's and
objected to the requirement that agencies provide NARA with copies of
formal instructions that extend retention periods. We have not changed
this section. Agencies are reminded that 44 U.S.C. 3303a makes
retention periods in approved agency records schedules mandatory unless
the Archivist of the United States, under his authority in 44 U.S.C.
2909, permits the agency to retain the records longer upon submission
of evidence of need.
Another agency recommended that this section address situations
where NARA determines that records are no longer permanent but the
custodial agency wants to keep them permanently or to donate them to a
non-profit organization. Section 1228.60, which is not revised in this
rule, does provide for donation of temporary records, which include
those records previously appraised as permanent by NARA but
subsequently found to be disposable.
Section 1228.152 Chart
The Office of the Secretary, Department of Defense (DOD) noted that
NARA has determined that Official Military Personnel Files (OMPFs) are
permanent records and stated that they should be included with other
permanent records on the chart. A commercial records center vendor also
recommended that OMPFs be permitted in any records storage facility. We
have adopted DOD's comment. We caution
[[Page 67663]]
DOD agencies that they must follow DOD-wide policy in retiring their
records to a records storage facility.
Section 1228.154(c)
Three agencies and the Society of American Archivists (SAA) offered
comments on this section. One agency argued that the requirement to
notify NARA when the agency sends permanent records for storage should
be replaced by a requirement that agencies maintain the information on
permanent records and supply it to NARA upon request. Another agency
recommended that the requirement be changed to require agencies that
were transferring records to an agency-owned records center to provide
NARA only with summary information on an annual basis. A third agency
recommended that the rule be modified to require that agencies report
to NARA whenever permanent or unscheduled records are moved from an
agency or commercial records center to which they were originally sent.
The SAA endorsed the information that must be maintained on records
sent to storage.
We have adopted only the third comment. The amount of information
that agencies must furnish to NARA when transferring permanent or
unscheduled records to records storage facilities is the same
information agencies themselves must have to locate and access the
records. It is important to keep that information up to date. We do not
believe that submitting the information to NARA as the records are
transferred is more burdensome than maintaining the information in a
central location in the agency or compiling a summary report for NARA
for records that are not transferred to a NARA center. For records
transferred to a NARA center, the transfer paperwork will be used to
comply with this requirement. The reporting requirements for permanent
and unscheduled should be consistent throughout the Government. As
permanent records are a very small percentage of all agency records,
the reporting requirement should place a minimal burden on the
agencies. Information on unscheduled records is required to assist NARA
in inspecting the records as part of their appraisal.
Section 1228.156(b)
One agency pointed out a discrepancy between Section 1228.154(b)
and this paragraph concerning the timing of submission of information
on unscheduled records. The agency recommended that both sections be
modified to permit an agency to submit schedules and provide the
information within 90 days after the records are transferred to a
records storage facility. We have changed Section 1228.156(b) to
conform with Section 1228.154(b). Section 1228.154 requires submission
of a proposed schedule for the records and NARA confirmation that the
schedule is accepted for processing before the records are moved to a
records storage facility. We believe that this requirement provides an
incentive for the agency to take the necessary steps to schedule the
records. Moreover, if the SF 115 is missing information about the
records that is necessary for NARA processing, the agency can locate it
quickly.
Another agency objected to the requirement to submit information on
permanent records sent to storage outside of NARA facilities,
contending that this information could change over time and is not
needed by NARA until the records are transferred 30 to 50 years later.
We did not adopt this comment. As we note in our discussion of the
comments on Section 1228.154, the information to be furnished to NARA
on permanent records is the same level of information agencies
themselves need to locate and access the records. The change we are
making to Section 1228.154 will ensure that the information is kept up
to date. We do not believe that submitting the information to NARA as
the records are transferred is more burdensome than maintaining the
information in the agency.
Sections 1228.160 and 1228.168(b)
One agency recommended that these sections be revised to authorize
electronic submission of the SF 135 and SF 180 to NARA. At the present
time, we do not have the capability to accept and process the
electronic versions of these forms. The wording of the regulation will
not prohibit electronic forms when we are able to accept them.
Section 1228.170
One agency recommended that we clarify that NARA will not destroy
records in its own records centers without first receiving written
concurrence from the agency. Since we have already instituted this
procedure, we have adopted the comment.
Section 1228.272
DOD was concerned that this section would not permit the agency to
control transfer of military personnel records at the level of the
individual OMPF, which would adversely affect the finding aids to those
records. This requirement was intended to ensure that permanent records
stored by facilities that use bar coding to control and track boxes
will identify and ship permanent records as collections of records
series, as required on the agencies' approved SF 115s. We will be
working with DOD to incorporate the terms of transfer of the OMPFs in
the SF 115, which will be a binding agreement on both agencies, and, if
necessary, will be made an exception to this regulation.
One agency recommended that NARA provide agencies with a checklist
of requirements to consider when establishing a contract for commercial
facilities. This suggestion is outside the scope of the regulation but
we plan to make the checklist of facility requirements that we use to
inspect agency centers available as a tool for agencies to use.
Finally, we have made several nonsubstantive editorial changes,
such as using active voice in several sentences and correcting a
typographical error in the existing text of redesignated Section
1228.272.
This rule is contained in NARA's Regulatory Plan and is a
significant regulatory action under Executive Order 12866 of September
30, 1993. As such, it 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 a substantial number of small
entities. This rule is not a major rule as defined in 5 U.S.C. Chapter
8, Congressional Review of Agency Rulemaking.
List of Subjects in 36 CFR Parts 1220, 1222, and 1228
Archives and records.
For the reasons set forth in the preamble, NARA amends 36 CFR parts
1220, 1222, and 1228 as follows:
PART 1220--FEDERAL RECORDS; GENERAL
1. The authority citation for part 1220 continues to read as
follows:
Authority: 44 U.S.C. 2104(a) and chs. 29 and 33.
2. In Sec. 1220.14, revise the definitions of ``Disposition'',
``Permanent record'' and ``Recordkeeping requirements''; and add new
definitions in alphabetical order for ``Commercial records storage
facility'', ``Records center'', and ``Records storage facility'' to
read as follows:
Sec. 1220.14 General definitions.
* * * * *
Commercial records storage facility is a private sector commercial
facility that offers records storage, retrieval, and disposition
services.
* * * * *
[[Page 67664]]
Disposition means those actions taken regarding records no longer
needed for the conduct of the regular current business of the agency.
* * * * *
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 Permanent records include all
records accessioned by NARA into the National Archives of the United
States and later increments of the same records, and those for which
the disposition is permanent on SF 115s, Request for Records
Disposition Authority, approved by NARA on or after May 14, 1973.
Recordkeeping requirements means all statements in statutes,
regulations, and agency directives or authoritative issuances, that
provide general and specific requirements for Federal agency personnel
on particular records to be created and maintained by the agency.
* * * * *
Records center is defined in 44 U.S.C. 2901(6) as an establishment
maintained and operated by the Archivist 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.
* * * * *
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.
* * * * *
3. In Sec. 1220.18, revise the section heading, designate the
existing text as paragraph (b), and add new paragraph (a) to read as
follows:
Sec. 1220.18 Inspection of records.
(a) In order for NARA to conduct inspections and studies required
in 44 U.S.C. Chapter 29 and records appraisals in 44 U.S.C. Chapter 33,
agencies must provide access for authorized NARA staff members to
records in the agency's legal custody, regardless of the physical
location of the records.
* * * * *
4. Revise Sec. 1220.36 to read as follows:
Sec. 1220.36 Maintenance and use of records.
(a) Agencies must institute adequate records management controls
over the maintenance and use of records wherever they are located to
ensure that all records, regardless of format or medium, are organized,
classified, and described to promote their accessibility, and make them
available for use by all appropriate agency staff for their authorized
retention period. Agencies must also maintain permanent records in a
format that will permit transfer to the National Archives of the United
States.
(b) Agencies must ensure that they maintain adequate information
about their records moved to an off-site records storage facility (see
36 CFR 1228.154). Agencies must also create and maintain records that
document the destruction of temporary records and the transfer of
permanent records to the National Archives of the United States. The
disposition of records that provide such documentation is governed by
General Records Schedule (GRS) 16.
(c) Agencies must also comply with GSA regulations on the
maintenance and use of records found in 41 CFR part 101-11.
5. Revise Sec. 1220.38 to read as follows:
Sec. 1220.38 Disposition of records.
(a) Agencies must ensure the proper, authorized disposition of
their records, regardless of format or medium, so that permanent
records are preserved and temporary records no longer of use to an
agency are promptly deleted or disposed of in accordance with the
approved records schedule when their required retention period expires.
As an intermediate step when records are not needed for current day-to-
day reference, they may be transferred to a records storage facility.
(b) Agencies must secure NARA approval of a records schedule or
apply the appropriate General Records Schedule item before destroying
any temporary records or transferring permanent records to the National
Archives of the United States (see 36 CFR part 1228).
6. Revise Sec. 1220.42 to read as follows:
Sec. 1220.42 Agency internal evaluations.
Each agency must periodically evaluate its records management
programs relating to records creation and record keeping requirements,
maintenance and use of records, and records disposition. These
evaluations shall include periodic monitoring of staff determinations
of the record status of documentary materials in all media, and
implementation of these decisions. These evaluations should determine
compliance with NARA regulations in this subchapter, including
requirements for storage of agency records and records storage
facilities in 36 CFR part 1228, subparts I and K, and assess the
effectiveness of the agency's records management program.
PART 1222--CREATION AND MAINTENANCE OF FEDERAL RECORDS
7. The authority citation for part 1222 continues to read as
follows:
Authority: 44 U.S.C. 2904, 3101, and 3102.
8. In Sec. 1222.20, remove the period at the end of paragraphs
(b)(5), (b)(8), and (b)(9), and add a semicolon in its place, and add
paragraph (b)(10) to read as follows:
Sec. 1222.20 Agency responsibilities.
* * * * *
(b) * * *
(10) Ensure that records storage facilities used to store the
agency's records comply with the standards specified in 36 CFR part
1228, subpart K. The agency must also comply with 36 CFR 1228.240 by
obtaining NARA approval of an agency records center or submitting
documentation of compliance by a commercial records storage facility
before the agency transfers records to that facility.
9. In Sec. 1222.50, revise the section heading and add paragraph
(c) to read as follows:
Sec. 1222.50 Records maintenance and storage.
* * * * *
(c) Agencies must ensure that:
(1) Records in their legal custody sent for off-site storage are
maintained in facilities that meet the standards specified in 36 CFR
part 1228, subpart K;
(2) The information requirements specified at 36 CFR 1228.154 are
met; and
(3) They remove their records from any records storage facility
that does not correct nonconformances with the standards specified in
36 CFR part 1228, subpart K. (A facility is compliant if it does not
have to meet the standard until a specific date in the future or
compliance has been waived by NARA in accordance with 36 CFR 1228.238.)
Agencies must initiate removal of the records from such a center within
6 months of initial discovery of the deficiencies by NARA or the agency
and to complete removal of the records within 18 months after initial
discovery of the deficiencies.
PART 1228--DISPOSITION OF FEDERAL RECORDS
10. The authority citation for part 1228 continues to read as
follows:
Authority: 44 U.S.C. chs. 21, 29, and 33.
[[Page 67665]]
11. In Sec. 1228.22, revise paragraph (d) to read as follows:
Sec. 1228.22 Developing records schedules.
* * * * *
(d) Based on agency need, develop specific recommended retention
and disposition instructions for each records series or each part of an
automated information system, including file breaks, retention periods
for temporary records, transfer periods for permanent records, and
instructions for the transfer of records to an approved records storage
facility when appropriate.
* * * * *
12. In Sec. 1228.24, revise paragraph (c)(2) to read as follows:
Sec. 1228.24 Formulation of agency records schedules.
* * * * *
(c) Provisions of schedules. * * *
(2) The removal to a records storage facility of records not
eligible for immediate destruction or other disposition but which are
no longer needed in office space. These records are maintained by the
records storage facility until they are eligible for final disposition
action;
* * * * *
13. In Sec. 1228.32, add paragraph (c), to read as follows:
Sec. 1228.32 Request to change disposition authority.
* * * * *
(c) Agencies must secure NARA approval before changing the
provision in a disposition instruction that specifies the period of
time that permanent records will remain in agency legal custody prior
to transfer to the National Archives of the United States.
14. In Sec. 1228.50, revise paragraphs (a)(1) and (a)(3) to read as
follows:
Sec. 1228.50 Application of schedules.
* * * * *
(a) * * *
(1) Published schedules contain disposition authorities granted by
NARA for records that the agency continues to create. They include
general instructions for transfer of records to a records storage
facility, transfer of records to the National Archives of the United
States, and other retention and disposition procedures. They do not
include nonrecurring records for which NARA has granted authority for
immediate disposal or transfer to the National Archives of the United
States.
* * * * *
(3) Prior to issuance, agencies may consult with NARA concerning
directives or other issuances containing approved schedules,
instructions for use of NARA records centers, transfer of records to
the National Archives of the United States, or other matters covered by
NARA procedures or regulations.
* * * * *
15. In Sec. 1228.54, revise paragraphs (a), (c)(4), and (e) and
remove paragraphs (g) and (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). Records series or systems
eligible for destruction must not be maintained longer without the
prior written approval of the National Archives and Records
Administration (NWML) except when:
(1) The agency has requested a change in the retention period for
the records series or system in accordance with Sec. 1228.32; or
(2) Records are needed for up to one year beyond the date they are
eligible for disposal. When such records are in a records storage
facility, the agency must notify the facility of the need for continued
retention of the records.
* * * * *
(c) * * *
(4) A statement of the current and proposed physical location of
the records.
* * * * *
(e) Agencies must ensure that affected records storage facilities
are notified when NARA approves an extension of the retention period
beyond the period authorized in the records control schedule. Agencies
must forward to NARA (NWML) two copies of all formally issued
instructions which extend the retention periods.
* * * * *
16. In Sec. 1228.100, revise paragraph (a) to read as follows:
Sec. 1228.100 Responsibilities.
(a) The Archivist of the United States and heads of Federal
agencies are responsible for preventing the alienation or unauthorized
destruction of records, including all forms of mutilation. Records may
not be removed from the legal custody of Federal agencies or destroyed
without regard to the provisions of agency records schedules (SF 115
approved by NARA or the General Records issued by NARA).
* * * * *
17. Revise subpart I to read as follows:
Subpart I--Transfer of Records to Records Storage Facilities
Sec.
1228.150 Where can a Federal agency transfer records for storage?
1228.152 Under what conditions may Federal records be stored in
records storage facilities?
1228.154 What requirements must an agency meet when it transfers
records to a records storage facility?
1228.156 What procedures must an agency follow to transfer records
to an agency records center or commercial records storage facility?
Subpart I--Transfer of Records to Records Storage Facilities
Sec. 1228.150 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 subpart K of this part. Records transferred to a records
storage facility remain in the legal custody of the agency.
(a) NARA 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 which contains designated
records of the Department of Defense and the Office of Personnel
Management and other designated records pertaining to former Federal
civilian employees. A list of NARA records centers is available from
the NARA web site at http://www.nara.gov 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.
(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. 1228.152 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:
[[Page 67666]]
------------------------------------------------------------------------
Type of Record Conditions
------------------------------------------------------------------------
(1) Permanent records.................. (i) Any storage facility that
meets the provisions of
subpart K of this part.
------------------------------------------------------------------------
(2) Unscheduled records................ (i) Any storage facility that
meets the provisions of
subpart K of this part.
(ii) Also requires submission
of SF 115 and its acceptance
from NARA under the provisions
of subpart B of this part.
------------------------------------------------------------------------
(3) Temporary records (excluding (i) Any storage facility that
Civilian Personnel Records). meets the provisions of
subpart K of this part.
------------------------------------------------------------------------
(4) Vital records...................... (i) Storage facility must meet
the provisions of subpart K of
this part and 36 CFR part
1236.
------------------------------------------------------------------------
(5) Civilian Personnel Records......... (i) May only be transferred to
NPRC, St. Louis as required by
this part.
------------------------------------------------------------------------
Sec. 1228.154 What requirements must an agency meet when it transfers
records to a records storage facility?
An agency must meet the following requirements when it transfers
records to a records storage facility:
(a) Ensure that the requirements of subpart K 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 1230 through 1234).
(b) To transfer unscheduled records, submit an SF 115 to NARA
(NWML) prior to the transfer. The agency may transfer the records only
after NARA has determined that the SF 115 meets the requirements
specified in this part.
(c) Create documentation sufficient to identify and locate files.
(1) Such 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 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.
(2) 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.
(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 1220.36.
(1) Retain temporary records until the expiration of their NARA-
approved retention period and no longer, except as provided for in
Sec. 1228.54.
(2) Transfer permanent records to the National Archives of the
United States in accordance with Sec. 1228.260.
(e) Provide access to appropriate NARA staff to records wherever
they are located in order to conduct an evaluation in accordance with
36 CFR 1220.50 or to process a request for records disposition
authority.
(f) Move temporary records that are subsequently reappraised as
permanent to a facility that meets the environmental control
requirements for permanent records in Sec. 1228.232 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. 1228.232(b) on
October 1, 2009, must be moved from that facility no later than
February 28, 2010.)
Sec. 1228.156 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
subpart K of this part 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.
(b) For temporary records, the agency must make available to NARA
on request the documentation specified in Sec. 1228.154. For permanent
records, the agency must transmit this documentation to NARA (NWML) no
later than 30 days after records are transferred to the agency records
center or commercial records storage facility. For unscheduled records,
the agency must transmit the information to NWML with the SF 115 before
the records are transferred as required by Sec. 1228.154(b).
(c) 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 storage facility notify agency records
[[Page 67667]]
managers or the creating office prior to the disposal of temporary
records unless disposal of temporary records is initiated by the
agency.
(d) 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 Sec. 1228.272.
(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 disposable 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. 1228.58.
(g) Agencies must ensure that emergency operating vital records, as
defined in 36 CFR 1236.14, that are transferred to an agency records
center or commercial records storage facility are available in
accordance with 36 CFR part 1236.
18. Redesignate subpart J of part 1228 as subpart L of part 1228 as
set forth in the following redesignation table:
------------------------------------------------------------------------
New Section
Old Section Subpart J Subpart L
------------------------------------------------------------------------
1228.180................................................... 1228.260
1228.182................................................... 1228.262
1228.183................................................... 1228.264
1228.184................................................... 1228.266
1228.186................................................... 1228.268
1228.188................................................... 1228.270
1228.190................................................... 1228.272
1228.192................................................... 1228.274
1228.194................................................... 1228.276
1228.196................................................... 1228.278
1228.198................................................... 1228.280
1228.200................................................... 1228.282
------------------------------------------------------------------------
19. Add a new subpart J to read as follows:
Subpart J--Transfer, Use, and Disposition of Records in a NARA Records
Center
Sec.
1228.160 How does an agency transfer records to a NARA records
center?
1228.162 How does an agency transfer vital records to a NARA
records center?
1228.164 What records must be transferred to the National Personnel
Records Center (NPRC)?
1228.166 How does an agency transfer records to the National
Personnel Records Center (NPRC)?
1228.168 How can records be used in NARA records centers?
1228.170 How are disposal clearances managed for records in NARA
records centers?
Subpart J--Transfer, Use, and Disposition of Records in a NARA
Records Center
Sec. 1228.160 How does an agency transfer records to a NARA records
center?
An agency transfers records to a NARA records center using the
following procedures:
(a) General. NARA will ensure that its records centers meet the
facilities standards in subpart K of this part, which meets the
agency's obligation in Sec. 1228.154(a).
(b) NARA records centers will not 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 records center for technical advice on treating such records.
(c) Agencies may use any NARA records center (see Sec. 1228.154(a))
if space is available for the storage of unclassified records. All NARA
facilities are equipped to store classified records that have a
national security classification up to Confidential, and certain NARA
facilities can also accept Secret (or ``Q'') classified records. Only
the Washington National Records Center is equipped to store records
that have been assigned a national security classification of Top
Secret, as defined in Executive Order 12958 (3 CFR, 1995 Comp., p. 333)
and predecessor orders. For storage of restricted records requiring
vault storage (regardless of the level of classification), agencies
must contact the records center(s) they wish to use to find out if the
center(s) can properly store the records.
(d) Transfers to NARA records centers must be preceded by the
submission of a Standard Form 135, Records Transmittal and Receipt.
Preparation and submission of this form will meet the requirements for
records description provided in Sec. 1228.154(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 records
center, consult the NARA Records Management Web Site (http://
www.nara.gov), or current NARA publications and bulletins by contacting
the Office of Regional Records Services (NR), individual NARA regional
facilities, or the Washington National Records Center (NWMW).
Sec. 1228.162 How does an agency transfer vital records to a NARA
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 subpart and 36 CFR part 1236.
Sec. 1228.164 What records must be transferred to the National
Personnel Records Center (NPRC)?
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:
(a) Official personnel folders of separated Federal civilian
employees;
(b) Service record cards of employees who separated or transferred
on or before December 31, 1947;
(c) Audited individual earnings and pay cards and comprehensive
payrolls; and
(d) Employee medical folders of separated Federal civilian
employees.
Sec. 1228.166 How does an agency transfer records to the National
Personnel Records Center (NPRC)?
(a) Agencies must use the following procedures when transferring
records to the NPRC:
(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.
(b) For further guidance consult the NPRC web site (http://
www.nara.gov/regional/cpr.html).
(c) 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.)
[[Page 67668]]
Sec. 1228.168 How can records be used in NARA records centers?
(a) Agency records transferred to a NARA 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 which maintains the record, or under rules established by
that agency which are not inconsistent with existing laws.
(b) 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). Agencies may furnish copies of that form to the
public to aid in inquiries. 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.
(c) Use 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.
(d) Use Standard Form 184, Request for Employee Medical Folder
(Separated Employee), to request medical folders stored at the National
Personnel Records Center.
(e) Use Optional Form 11, Reference Request--Federal Records Center
to request medical records transferred to other NARA records centers
prior to September 1, 1984. The request must include the name and
address of the agency's designated medical records manager.
(f) For any other requests, use the Optional Form 11, Reference
Request--Federal Records Centers, a form jointly designated by that
agency and NARA, or their electronic equivalents.
Sec. 1228.170 How are disposal clearances managed for records in NARA
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 records centers will destroy other eligible Federal
records only with the written concurrence of the agency having legal
custody of the records.
(c) NARA records centers will maintain documentation on the final
disposition of records, as required in 36 CFR 1220.36, for the period
of time required by General Records Schedule 16.
(d) When NARA approves an extension of retention period beyond the
time authorized in the records schedule for records stored in NARA
records centers, NARA will notify those affected records centers to
suspend disposal of the records (see Sec. 1228.54(e)).
20. In newly redesignated subpart L, revise the subpart heading to
read as follows:
Subpart L--Transfer of Records to the National Archives of the
United States
21. In newly redesignated Sec. 1228.272, remove the term ``(MWMD)''
in paragraphs (b)(2) and (c) and add ``(NWMD)'' in its place, and
revise the section heading and paragraph (a) to read as follows:
Sec. 1228.272 Transfer of records to the National Archives of the
United States.
(a) Policy. (1) Federal records will be transferred to NARA's legal
custody into the National Archives of the United States only if they
are listed as permanent on an SF 115, Request for Records Disposition
Authority, approved by NARA since May 14, 1973, or if they are
accretions (continuations of series already accessioned) to holdings of
the National Archives. Transfers are initiated by submission of an SF
258, Agreement to Transfer Records to the National Archives of the
United States.
(2) Each SF 258 must relate to a specific records series, as
identified on the SF 115, Request for Records Disposition Authority, in
accumulations of one or more consecutive years.
* * * * *
Dated: November 22, 1999.
John W. Carlin,
Archivist of the United States.
[FR Doc. 99-30838 Filed 12-1-99; 8:45 am]
BILLING CODE 7515-01-P