[Federal Register Volume 66, Number 137 (Tuesday, July 17, 2001)]
[Proposed Rules]
[Pages 37202-37203]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-17791]


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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

36 CFR Part 1228

RIN 3095-AB02


Records Disposition

AGENCY: National Archives and Records Administration (NARA).

ACTION: Proposed rule.

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SUMMARY: NARA is proposing to change the records management regulations 
in Subchapter B to simplify certain records disposition procedures. The 
current rule addresses only hard copy distribution of agency records 
disposition manuals. This proposed rule reflects agencies' use of the 
Internet and Intranets to distribute copies of agency records manuals 
that include the disposition authorities approved by NARA. The proposed 
rule also eliminates the requirement that agencies request authority 
for a retention period that differs from the General Records Schedules 
if NARA previously has granted a disposition authority specifically to 
an agency. This proposed rule will affect Federal agencies, and we urge 
agencies to provide comments on the proposal.

DATES: Comments are due by September 17, 2001.

ADDRESSES: Comments must be sent to Regulation Comment Desk (NPOL), 
Room 4100, Policy and Communications Staff, National Archives and 
Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001. 
They may be faxed to 301-713-7270. You may also comment via the 
Internet to [email protected]. Please submit Internet comments as an 
ASCII file avoiding the use of special characters and any form of 
encryption. Please also include ``Attn: 3095-AB02'' and your name and 
return address in your Internet message. If you do not receive 
notification that we have received your Internet message, contact the 
Regulation Comment Desk at 301-713-7360, ext. 226.

FOR FURTHER INFORMATION CONTACT: Nancy Allard at telephone number 301-
713-7360 or fax number 301-713-7270.

SUPPLEMENTARY INFORMATION: NARA requires agencies to provide copies of 
records manuals that contain records

[[Page 37203]]

disposition authorities approved by NARA for distribution to NARA 
appraisal staff and records centers. The records centers need to have 
current instructions for scheduling the records sent for storage by 
Federal agencies. This proposed rule would permit agencies to provide 
copies of their records disposition manuals to NARA electronically, 
instead of submitting 20 printed copies as is now required.
    Currently, agencies that wish to retain records for a different 
period of time than specified in the General Records Schedules must 
request NARA approval, unless an agency received NARA approval for a 
shorter retention period prior to the issuance of the GRS. This means 
that if an agency wishes to retain records longer than provided in the 
GRS, it must submit an SF 115, Request for Records Disposition 
Authority, to NARA for approval even if NARA approved the longer 
retention period prior to issuance of the GRS item. This proposed rule 
would permit agencies to apply either the retention period in the GRS 
or the retention period previously approved for that agency's records. 
This change reduces the scheduling burden by eliminating the need for 
agencies to submit SF 115s when they have already scheduled a records 
series. Agencies must notify NARA if they will continue to use the 
agency schedule instead of the GRS.
    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. 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 it applies 
only to Federal agencies. This proposed rule has no federalism or 
tribalism implications.

List of Subjects in 36 CFR Part 1228

    Archives and records, Federal buildings and facilities, 
Incorporation by reference.

    For the reasons set forth in the preamble, NARA proposes to amend 
Part 1228 of Title 36 of the CFR 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. Revise Sec. 1228.40 to read as follows:


Sec. 1228.40  Authority.

    The Archivist of the United States issues schedules authorizing 
disposal, after specified periods of time, of temporary records common 
to several or all agencies of the U.S. Government. General Records 
Schedules authorize the destruction of records after the stated 
retention period expires. Application of the disposition instructions 
in these schedules is mandatory (44 U.S.C. 3303a), provided an agency 
has not already received disposition authority from NARA.
    3. Amend Sec. 1228.42 by redesignating paragraph (c) as paragraph 
(d); revising paragraphs (a) and (b); and adding new paragraph (c) to 
read as follows:


Sec. 1228.42  Applicability.

    (a) Agencies must apply GRS authorizations except as provided in 
paragraphs (b) or (c) of this section. Agencies must not include on SFs 
115 records covered by the GRS unless a different retention period is 
requested, as specified in paragraph (c) of this section.
    (b) Agencies may apply either the disposition instructions in the 
GRS or the disposition instructions previously approved by NARA in an 
agency schedule for the same series or system of records, unless NARA 
indicates that the GRS standard must be applied without exception. The 
authority chosen by the agency must be applied on an agency-wide basis. 
The agency must notify NARA if it intends to continue using the agency 
schedule.
    (c) Except as provided in paragraph (b) of this section, agencies 
that wish a different retention period must request an exception to the 
GRS by submitting an SF 115 in accordance with Sec. 1228.30 accompanied 
by a written justification for the different retention period.
* * * * *
    4. Amend Sec. 1228.50 by revising paragraph (a)(4) to read as 
follows:


Sec. 1228.50  Application of schedules.

* * * * *
    (a) * * *
    (4) Agencies must submit to the National Archives and Records 
Administration (NWML) copies of published records schedules and all 
directives and other issuances relating to records disposition, within 
30 days of implementation or internal dissemination.
    (i) Agencies that print these materials for internal distribution 
must forward to NARA (NWML) three copies of each final directive or 
other issuance relating to records disposition and 20 copies of all 
published records schedules (printed agency manuals) and changes to all 
manuals as they are issued.
    (ii) Agencies that make these materials available via the Internet 
or internally on an Intranet web site or by other electronic means must 
submit one printed or electronic copy to NARA in a format specified by 
NARA when the directive or manual is posted or distributed. If the 
document is posted on the Internet, the agency must also provide the 
Internet address (URL).
* * * * *

    Dated: July 6, 2001.
John W. Carlin,
Archivist of the United States.
[FR Doc. 01-17791 Filed 7-16-01; 8:45 am]
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