[Federal Register Volume 67, Number 92 (Monday, May 13, 2002)]
[Rules and Regulations]
[Pages 31961-31963]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-11577]


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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

36 CFR Parts 1220, 1222 and 1228

RIN 3095-AB02


Records Disposition

AGENCY: National Archives and Records Administration (NARA).

ACTION: Final rule.

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SUMMARY: NARA is revising 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 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 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. NARA is also correcting references in parts 1220, 1222, and 
1228. This final rule will affect Federal agencies.

EFFECTIVE DATE: June 12, 2002.

FOR FURTHER INFORMATION CONTACT: Nancy Allard on 301-837-1850 or fax 
number 301-837-0319.

SUPPLEMENTARY INFORMATION: The proposed rule was published in the July 
17, 2001, Federal Register (66 FR 37202) for a 60-day public comment 
period. NARA notified Federal records officers of the availability of 
the proposed rule. A copy of the proposed rule was also posted on the 
NARA web site.
    NARA received 14 responses to the proposed rule, 12 from Federal 
agencies and two from private sector commenters. Six agencies and the 
two non-Federal commenters concurred with both changes. Comments from 
six agencies on the proposed rule related mainly to the clarity of the 
requirements and the format of the electronic copies of schedules 
submitted to NARA. Comments on each of the sections of the regulation 
are summarized below, followed by NARA's response.

36 CFR 1228.42

    Comment: One agency recommended that NARA eliminate the requirement 
to submit a schedule for any deviation from GRS authorities.
    NARA response: We did not adopt this comment. Application of the 
GRS is mandatory unless NARA has approved an alternate disposition. 
NARA has the statutory responsibility to approve all records 
disposition authorities, including those on agency-specific schedules 
and those contained in the GRS. See 44 U.S.C. 3303a.

36 CFR 1228.42(b)

    Comments: Under the new rule, agencies need to notify NARA when 
they intend to apply a previously approved agency schedule instead of a 
newly-approved or newly-revised GRS. One agency suggested that it would 
be easier for agencies to notify NARA when they are not going to 
continue using the agency schedule rather than when they intend to 
continue to apply it. Another agency recommended that NARA add a time 
limit of 60-90 days for agencies to notify NARA that they intend to 
continue using their schedules. That agency also asked how NARA would 
determine which GRS items need be applied ``without exception.''
    NARA response: The GRS, as the later authority, would normally 
supersede the agency schedule, so agencies need to tell NARA when they 
do not choose to apply the GRS. The rule has been modified to require 
notification within 90 days from issuance of the GRS change. GRS items 
that must be used without exception will be those that have a retention 
period based on another statutory or regulatory requirement. For 
example, retention periods for such records as accountable officers 
accounts and contracts are based on the statute of limitations on 
claims. A shorter retention period than provided in the law would deny 
an agency the ability to defend itself against claims, and a longer 
retention period may put the Government in jeopardy of processing 
untimely claims. NARA will identify such items clearly on the GRS 
Transmittal and in the disposition instruction for the applicable item.

36 CFR 1228.42(c)

    Comment: One agency commented that NARA needs to process schedules 
for exceptions to the GRS more quickly, including shortening the 45-day 
review period on pending schedules listed in Federal Register notices 
to 14 days.
    NARA response: We did not adopt this comment. NARA is concerned 
about the time required to approve many of the schedules submitted by 
agencies, and has undertaken a review of the scheduling process. NARA 
will consider, as part of this review, whether the Federal Register 
notice period should be modified. Public notice on pending schedules is 
required by law (44 U.S.C. 3303a(a)), and the current review period 
provides reasonable accommodation. In the meantime, NARA appraisal 
archivists work with agencies to set priorities for schedule 
processing.

36 CFR 1228.50(a)(4)

    Comments: One agency asked for clarification of the requirement 
that agencies submit copies of schedules to NARA within 30 days as it 
relates to the provision in 36 CFR 1228.50(a)(4)(ii) that agencies 
submit a copy to NARA

[[Page 31962]]

when posted. That agency also recommended that NARA provide links to 
printed schedules of all agencies. Another agency suggested that the 
regulation specify that if the agency both prints and posts an 
electronic copy of its schedule, it need only submit an electronic copy 
to NARA.
    NARA response: The provisions of 36 CFR 1228.50(a)(4) apply to both 
subordinate paragraphs ((a)(4)(i) and (a)(4)(ii)). Therefore, agencies 
are required to submit printed directives, schedules, and schedule 
changes within 30 days of the date they were issued, and a printed or 
electronic copy of the materials on an Internet or Intranet web site 
within 30 days of the date they were posted. Agencies may email 
electronic copies of schedules to NARA at the email address now 
indicated in the rule. The NARA records management web site includes 
the Agency Records Disposition Online Resource (http://ardor.nara.gov/index.html) which contains agency schedules or links to agency 
schedules, and the GRS. NARA urges agencies to provide information on 
their schedules to add to this resource. NARA agrees that agencies may 
submit only electronic copies of schedules if they both post an 
electronic copy and print copies for distribution. This change has been 
made.

36 CFR 1228.50(a)(4)(ii)

    Comments: Three agencies raised questions about the format of the 
electronic copy of the records schedule that agencies would send to 
NARA. One agency asked whether the term meant the method of 
transmission, e.g., via email, instead of the format of the document 
itself. That agency also asked if the requirement to provide the 
Internet address for relevant schedules could be met if the address 
(URL) is on the electronic copy submitted to NARA. Another agency 
believed that the ``format specified by NARA'' referred to the 
requirement for transfer of permanent records in 36 CFR 1228.270, 
because it requested that HTML and PDF be acceptable as well as ASCII. 
A third agency commented that NARA should be able to accept all 
formats. Another agency recommended that the regulation specify that 
any revisions to schedules also be covered by the requirement to submit 
copies of schedules to NARA.
    NARA response: The regulation relates to the format of the 
directives, schedules, and schedule changes, not the method of 
transmission for either the schedules or the transfer of permanent 
electronic text records to NARA. NARA will accept the schedules in all 
formats that it is able to read and disseminate, e.g., Word, 
WordPerfect, HTML, RTF (rich text format), and PDF. If the copy of a 
schedule posted on a publicly available web site is submitted to NARA 
and includes the URL, the requirement to provide the Internet address 
would be met. However, inclusion of the URL for schedules posted on an 
agency's internal Intranet is not required because an agency's Intranet 
is not available to either NARA or the public. The regulation clearly 
states that agencies are to submit ``changes to all manuals as they are 
issued.'' NARA believes that the requirement is sufficiently clear.

Other Changes in This Final Rule

    After publication of the proposed rule, the General Services 
Administration (GSA) updated its records management regulations. Cross-
references to specific sections of GSA's records management regulations 
in title 41, Code of Federal Regulations, have been changed in this 
rule.
    This 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 rule will not have a significant impact on a substantial 
number of small entities because it applies only to Federal agencies. 
This rule has no federalism or tribalism implications. 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 Part 1228

    Archives and records, Federal buildings and facilities.


    For the reasons set forth in the preamble, NARA amends parts 1220, 
1222, and 1228 of title 36, Code of Federal Regulations, 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.


Sec. 1220.2  [Amended]

    2. In Sec. 1220.2, remove the term ``41 CFR chapter 201, 
Subchapters A and B'' and add in its place the term ``41 CFR part 102-
193.''


Sec. 1220.34  [Amended]

    3. In Sec. 1220.34, remove the term ``41 CFR part 201-9'' and add 
in its place the term ``41 CFR part 102-193.''


Sec. 1220.36  [Amended]

    4. In paragraph (c) of Sec. 1220.36, remove the term ``41 CFR part 
101-11'' and add in its place the term ``41 CFR part 102-193.''

PART 1222--CREATION AND MAINTENANCE OF FEDERAL RECORDS

    5. The authority citation for part 1222 continues to read as 
follows:

    Authority: 44 U.S.C. 2904, 3101, and 3102.


Sec. 1222.20  [Amended]

    6. In paragraph (a) of Sec. 1222.20, remove ``41 CFR Chapter 201'' 
and add ``41 CFR part 102-193.''

PART 1228--DISPOSITION OF FEDERAL RECORDS

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

    Authority: 44 U.S.C. chs. 21, 29, and 33.

    8. 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.

    9. 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 a new 
or revised 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 new GRS disposition instruction must be 
applied without exception. The authority chosen by the agency must be 
applied on an agency-wide basis. The agency must notify NARA within 90 
days of the date of the GRS change if it intends to continue using the 
agency schedule.

[[Page 31963]]

    (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.
* * * * *

    10. Revise Sec. 1228.50(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, as specified 
below. If an agency both prints copies for distribution and posts an 
electronic copy, it should follow the instructions in paragraph 
(a)(4)(ii) of this section.
    (i) Agencies that print these materials for internal distribution 
must forward to NARA (NWML), 8601 Adelphi Rd., College Park, MD 20740-
6001, 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, in a format specified by NARA, 
to NARA (NWML) when the directive or manual is posted or distributed. 
Electronic mail messages transmitting copies of agency schedules as 
electronic attachments may be sent to [email protected]. These 
submissions must specify the name, title, agency, address, and 
telephone number of the submitter. If the records schedule is posted on 
a publicly available web site, the agency must also provide the 
Internet address (URL).
* * * * *

    Dated: February 11, 2002.
John W. Carlin,
Archivist of the United States.
[FR Doc. 02-11577 Filed 5-10-02; 8:45 am]
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