[Federal Register Volume 69, Number 50 (Monday, March 15, 2004)]
[Proposed Rules]
[Pages 12100-12103]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-5625]


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NATIONAL ARCHIVES AND RECORDS ADMINISTRATION

36 CFR Parts 1220, 1222, 1223, 1224, 1225, 1226, 1227, 1228, 1229, 
1230, 1231, 1232, 1233, 1234, 1235, 1236, 1237, 1238, 1240, 1242, 
1244, and 1246

RIN 3095-AB16


Federal Records Management; Proposed Regulatory Framework

AGENCY: National Archives and Records Administration (NARA).

ACTION: Advance notice of proposed rulemaking; request for comments.

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SUMMARY: NARA is seeking comments from Federal agencies and the public 
on

[[Page 12101]]

our regulations for Federal records management. We are considering 
revising and reorganizing the existing regulations to make the 
regulations easier to read, understand, and use. A proposed table of 
contents for the revision, which includes parenthetical references to 
the current configuration of the regulations, is also provided for 
review and comment.
    Dates: Submit comments on or before May 14, 2004.

ADDRESSES: NARA invites interested persons to submit comments on this 
ANPRM. Please include ``Attn: 3095-AB16'' and your name and mailing 
address in your comments. Comments may be submitted by any of the 
following methods:
     E-Mail: Send comments to [email protected]. If 
you do not receive a confirmation that we have received your e-mail 
message, contact Cheryl Stadel-Bevans at 301-837-3021.
     Fax: Submit comments by facsimile transmission 
to 301-837-0319.
     Mail: Send comments to Regulations Comments Desk 
(NPOL), Room 4100, Policy and Communications Staff, National Archives 
and Records Administration, 8601 Adelphi Road, College Park, MD 20740-
6001.
     Hand Delivery or Courier: Deliver comments to 
8601 Adelphi Road, College Park, MD.
     Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the online instructions for submitting 
comments.

For further information contact: Cheryl Stadel-Bevans at telephone 
number 301-837-3021 or fax number 301-837-0319.

Supplementary Information:

Background

    NARA is concerned that the current Federal records management 
regulations do not reflect many of the recent changes in records 
management and, therefore, need updating to meet the challenges of a 
changing recordkeeping environment. We are considering revising the 
existing regulations to incorporate current standards and practices, 
such as new guidance on electronic recordkeeping and relevant portions 
of ISO 15489-1:2001, Records management--Part 1: General (ISO Records 
Management Standard).
    In addition, we propose to restructure the regulations to better 
reflect the lifecycle of records, from creation through active agency 
use to disposition. We are considering consolidating all definitions 
under 36 CFR 1220; reorganizing the Parts of 36 CFR Chapter XII, 
Subchapter B, to more clearly reflect the lifecycle of records; and 
elevating subparts in the current 36 CFR 1228 to parts, for better 
emphasis. The regulations would also be re-written in accordance with 
plain language principles (such as using the question-style for the 
section headings) to make them easier to read, understand, and use.
    Our goal is to make it easier for Federal agencies and records 
management contractors to follow our regulations. As part of the 
revision, we also intend to address the issues raised in the advance 
notice of proposed rulemaking, Records Management; Electronic Text 
Documents (RIN 3095-AB05) that was published October 10, 2001 (66 FR 
51740).
    More information about NARA's Redesign of Federal Records 
Management may be found online at http://www.archives.gov/records_management/initiatives/rm_redesign_project.html.

Questions for Comment

    What do you think about this proposal? Do you agree that the 
current Federal records management regulations need revision? Which 
regulations do you think need updating, revision, or expansion? Are 
there other records management issues that NARA should address? If you 
think the NARA regulations need to be revised, are there any priority 
areas that should be addressed first? Will the proposed reorganization 
of 36 CFR chapter XII, subchapter B, make the regulations easier to 
use? Will consolidating definitions in one section be useful? How do 
you see the proposed revision affecting the records management programs 
of Federal agencies? Please specify what further changes you would like 
to see.

    Dated: March 2, 2004.
Lewis J. Bellardo,
Deputy Archivist of the United States.
    The following table of contents is a proposed outline for 
reorganizing the regulations for Federal records management and 
includes parenthetical references to the current configuration of the 
regulations. We attempted to lay out the regulations in a more 
serviceable order from the current structure. Please review and comment 
on the outline.
Sec.

PART 1220--FEDERAL RECORDS, GENERAL

1220.1 Scope of subchapter. [1220.1]
1220.2 Responsibility for records management programs. [1220.2]
Subpart A--General Provisions
1220.10 Authority. [1220.10]
1220.12 Applicability. [1220.12]
1220.14 Definitions. (all definitions in current CFR--add definition 
for trustworthy (see old 1234.26), authenticity, reliability, 
integrity (see old 1234.26(b)), usability, risk, and definitions 
from other sources as appropriate) [1220.14, 1222.12, 1228.226, 
1230.4, 1232.10, 1234.2, 1236.14]
Subpart B--Agency Records Management Programs
1220.30 Authority. [1220.30]
1220.32 Program content. [1220.32]
(a) Cooperation with NARA. [1220.32(a)]
(b) Agency internal evaluation. [1220.42]
(c) Compliance. [1220.32(b)]
1220.34 Creation of records. [1220.34]
1220.36 Maintenance and use of records. [1220.36]
1220.38 Disposition of records. [1220.38]
1220.40 Liaison offices. [1220.40]

PART 1222--CREATION AND MAINTENANCE OF FEDERAL RECORDS

Subpart A--General
Sec.
1222.10 Authority. [1222.10]
1222.12 Understanding what a Federal record is. [1222.12]
Subpart B--Program Requirements
1222.20 Agency responsibilities. [1222.20]
Subpart C--Agency Recordkeeping Requirements
1222.30 Purpose. [1222.30]
1222.32 General requirements. [1222.32]
1222.34 Identifying Federal records. [1222.34]
1222.36 Identifying personal papers. [1222.36]
1222.38 Recordkeeping requirements.
(a) Categories of documentary materials. [1222.38]
(b) Levels of recordkeeping requirements. [New]
(1) Agency.
(2) Program.
(3) Series/system.
1222.40 Preventing the unauthorized removal of records. [1222.40]
1222.42 Authorizing the removal of nonrecord material. [1222.42]
1222.44 Records management directives. [1222.44]
1222.46 Recordkeeping requirements of other agencies. [1222.46]
1222.48 Contractor records. [1222.48]
1222.50 Records maintenance and storage. [1222.50]

PART 1223--MANAGEMENT OF VITAL RECORDS

Subpart A--General
Sec.
1223.10 Purpose. [1236.10]
1223.12 Authority. [1236.12]
Subpart B--Vital Records
1223.20 Program objectives. [1236.20]
1223.22 Identification. [1236.22]
1223.24 Use of vital records. [1236.24]
1223.26 Protection of vital records. [1236.26]

[[Page 12102]]

1223.28 Disposition of vital records. [1236.28]

PART 1224--DISPOSITION OF FEDERAL RECORDS--GENERAL

Sec.
1224.1 Scope. [New--refer to 44 U.S.C. 3301 and 36 CFR 1222.12 (old) 
and 1222.34 (old)]
1224.10 Authority. [1228.10]
1224.12 Program elements. [1228.12]

PART 1225--SCHEDULING RECORDS

Sec.
1225.10 Authority. [1228.20]
1225.12 Developing records schedules. [1228.22]
1225.14 Formulation of agency records schedules. [1228.24]
1225.16 Request for records disposition authority. [1228.26]
1225.18 Scheduling permanent records. [1228.28]
1225.20 Scheduling of temporary records. [1228.30]
1225.22 Request to change disposition authority. [1228.32]

PART 1226--IMPLEMENTING SCHEDULES

Sec.
1226.10 Application of schedules. [1228.50]
1226.12 Withdrawal of disposal authority. [1228.52]
1226.14 Temporary extension of retention periods. [1228.54]
1226.16 Transfer of permanent records. [1228.56]
1226.18 Destruction of temporary records. [1228.58]
1226.20 Donation of temporary records. [1228.60]

PART 1227--GENERAL RECORDS SCHEDULES

Sec.
1227.10 Authority. [1228.40]
1227.12 Applicability. [1228.42]
1227.14 Availability. [1228.46]

PART 1228--LOAN OF PERMANENT AND UNSCHEDULED RECORDS

Sec.
1228.10 Authority. [1228.70]
1228.12 Approval. [1228.72]
1228.14 Agency action. [1228.74]
1228.16 NARA action on request. [1228.76]
1228.18 Retrieval of records. [1228.78]

PART 1229--EMERGENCY AUTHORIZATION TO DESTROY RECORDS

Sec.
1229.10 General provisions. [1228.90]
1229.12 Menaces to human life or health or to property. [1228.92]
1229.14 State of war or threatened war. [1228.94]

PART 1230--DAMAGE TO, ALIENATION, AND UNAUTHORIZED DESTRUCTION OF 
RECORDS

Sec.
1230.10 Responsibilities. [1228.100]
1230.12 Criminal penalties. [1228.102]
1230.14 Reporting. [1228.104]
1230.16 Exclusions. [1228.106]

PART 1231--TRANSFER OF RECORDS FROM THE CUSTODY OF ONE EXECUTIVE AGENCY 
TO ANOTHER

Sec.
1231.10 Authority. [1228.120]
1231.12 Approval. [1228.122]
1231.14 Agency request. [1228.124]
1231.16 Agency concurrences. [1228.126]
1231.18 Records of terminated agencies. [1228.128]
1231.20 Equipment. [1228.130]
1231.22 Costs of transfers. [1228.132]
1231.24 Restrictions on use of records. [1228.134]
1231.26 Exceptions. [1228.136]

PART 1232--TRANSFER OF RECORDS TO RECORDS STORAGE FACILITIES

Sec.
1232.10 Where can a Federal agency transfer records for storage? 
[1228.150]
1232.12 Under what conditions may Federal records be stored in 
records storage facilities? [1228.152]
1232.14 What requirements must an agency meet when it transfers 
records to a records storage facility? [1228.154]
1232.16 What procedures must an agency follow to transfer records to 
an agency records center or commercial records storage facility? 
[1228.156]

PART 1233--TRANSFER, USE, AND DISPOSITION OF RECORDS IN A NARA RECORDS 
CENTER

Sec.
1233.10 How does an agency transfer records to a NARA records 
center? [1228.160]
1233.12 How does an agency transfer vital records to a NARA records 
center? [1228.162]
1233.14 What records must be transferred to the National Personnel 
Records Center (NPRC)? [1228.164]
1233.16 How does an agency transfer records to the National 
Personnel Records Center (NPRC)? [1228.166]
1233.18 How can records be used in NARA records centers? [1228.168]
1233.20 How are disposal clearances managed for records in NARA 
records centers? [1228.170]
1233.22 Transfer to and storage of electronic records in NARA 
records centers [New]

PART 1234--FACILITY STANDARDS FOR RECORDS STORAGE FACILITIES

Subpart A--General
Sec.
1234.10 What authority applies to this subpart? [1228.220]
1234.12 What does this subpart cover? [1228.222]
1234.14 Publications incorporated by reference. [1228.224]
Subpart B--Facility Standards
1234.20 What are the facility requirements for all records storage 
facilities? [1228.228]
1234.22 What are the fire safety requirements that apply to records 
storage facilities? [1228.230]
1234.24 What are the requirements for environmental controls for 
records storage facilities? [1228.232]
Subpart C--Handling Deviations From NARA's Facility Standards
1234.30 What rules apply if there is a conflict between NARA 
standards and other regulatory standards that a facility must 
follow? [1228.234]
1234.32 How does an agency request a waiver from a requirement in 
this subpart? [1228.236]
1234.34 How does NARA process a waiver request? [1228.238]
Subpart D--Facility Approval and Inspection Requirements
1234.40 How does an agency request authority to establish or 
relocate records storage facilities? [1228.240]
1234.42 What does an agency have to do to certify a fire-safety 
detection and suppression system? [1228.242]
1234.44 When may NARA conduct an inspection of a records storage 
facility? [1228.244]
Appendix A--Minimum Security Standards for Level III Federal 
Facilities [1228 Appendix A]
Appendix B--Alternative Certified Fire-safety Detection and 
Suppression System(s) [1228 Appendix B]

PART 1235--TRANSFER OF RECORDS TO THE NATIONAL ARCHIVES OF THE 
UNITED STATES

Sec.
1235.10 Authority. [1228.260]
1235.12 Types of records to be transferred. [1228.262]
1235.14 Certification for retention of records in agency custody. 
[1228.264]
1235.16 Audiovisual records. [1228.266]
1235.18 Cartographic and architectural records. [1228.268]
1235.20 Electronic records (including new transfer guidance). 
[1228.270]
1235.22 Transfer of records. [1228.272]
1235.24 Restrictions on transferred records. [1228.274]
1235.26 Records subject to the Privacy Act of 1974. [1228.276]
1235.28 Release of equipment. [1228.278]
1235.30 Use of records transferred to the National Archives. 
[1228.280]
1235.32 Disposal clearances. [1228.282]

PART 1236--ELECTRONIC RECORDS MANAGEMENT

Subpart A--General
Sec.
1236.1 Scope of part. [1234.1]
Subpart B--Program Requirements
1236.10 Agency responsibilities. [1234.10 and ISO 15489-1:7.2, 
Characteristics of a record]
Subpart C--Standards for Design and Implementation of an Electronic 
Records System [ISO 15489-1:8]
1236.12 General. (ISO 15489-1:8.1)
1236.14 Records systems characteristics. (ISO 15489-1:8.2)

[[Page 12103]]

1236.16 Designing and implementing electronic records systems. (ISO 
15489-1:8.3)
1236.18 Design and implementation methodology. (ISO 15489-1:8.4)
1236.20 Discontinuing records systems. (ISO 15489-1:8.5)
1236.22 Determining documents to be captured into a records system. 
(ISO 15489-1:9.1)
1236.24 Standards for managing electronic mail records. [1234.24]
(a) Identifying and preserving. [1234.24(a)]
(b) Recordkeeping systems. [1234.24(b)]
(c) Copying. [1234.24(c)]
(d) Print and file. [1234.24(d)]
1236.26 Standards for managing data files. [1234.20]
1236.28 Standards for managing text files. [1234.22]
1236.30 Standards for managing PDF files. [New]
1236.32 Standards for managing scanned images. [New]
1236.34 Standards for managing digital photography. [New]
1236.36 Reserved for New Formats
1236.38 Reserved for New Formats
1236.40 Reserved for New Formats
1236.42 Reserved for New Formats
1236.44 Selection and maintenance of media. [1234.30]
1236.46 Judicial use of electronic records. [1234.26]
1236.48 Security use of electronic records. [1234.28]
Subpart E--Disposition of Electronic Records
1236.50 Determining how long to retain records. (ISO 15489-1:9.2)
1236.52 Retention and disposition of electronic records.
(a) Scheduling. [1234.32(a)]
(b) Records authorized for disposal in certain parts of the GRS are 
also authorized for disposal if they are in an electronic format. 
[New]
(c) Establishing. [1234.32(c)]
(d) Electronic mail. [1234.32(d)]
(e) Transferring. [1234.32(b)]
1236.54 Destruction of electronic records. [1234.34]

PART 1237--AUDIOVISUAL RECORDS MANAGEMENT

Subpart A--General
Sec.
1237.1 Applicability and scope. [1232.1]
1237.2 Objectives. [1232.2]
Subpart B--Audiovisual Records Management
1237.20 Agency program responsibilities. [1232.20]
1237.22 Nitrocellulose film. [1232.22]
1237.24 Unstable cellulose-acetate film. [1232.24]
1237.26 Storage conditions. [1232.26]
1237.28 Maintenance and operations. [1232.28]
1237.30 Choosing formats. [1232.30]
1237.32 Disposition. [1232.32]

PART 1238--CARTOGRAPHIC, ARCHITECTURAL, AND AERIAL FILM MANAGEMENT

Subpart A--General
Sec.
1238.1 Applicability and scope. [New]
1238.2 Objectives. [New]
Subpart B--Cartographic, Architectural, and Aerial Film Management
1238.20 Agency program responsibilities. [New]
1238.22 Storage conditions. [New]
1238.24 Maintenance and operations. [New]
1238.26 Choosing formats. [New]
1238.28 Disposition. [New]

PART 1240--MICROGRAPHIC RECORDS MANAGEMENT

Subpart A--General
Sec.
1240.1 Scope. [1230.1]
1240.2 Authority. [1230.2]
1240.3 Publication incorporated by reference. [1230.3]
Subpart B--Program Requirements
1240.7 Managing microform records. [1230.7]
Subpart C--Microfilming Standards
1240.10 Disposition of microform and source records. [1230.10]
1240.12 Requirements for filming records. [1230.12]
1240.14 Filming requirements for permanent and unscheduled records. 
[1230.14]
1240.16 Film and image requirements for temporary records, 
duplicates, and user copies. [1230.16]
Subpart D--Storage, Use, and Disposition of Microform Records
1240.20 Storage of microform. [1230.20]
1240.22 NARA inspection requirements for permanent and unscheduled 
microform records. [1230.22]
1240.24 NARA inspection requirements for temporary microform 
records. [1230.24]
1240.26 Restrictions for permanent and unscheduled microform 
records. [1230.26]
1240.28 Storing permanent microform records in a records storage 
facility. [1230.28]
1240.30 Transferring permanent microform records to the legal 
custody of the National Archives. [1230.30]
Subpart E--Centralized Micrographic Services
1240.40 NARA's micrographic services. [1230.50]

PART 1242--PROGRAM ASSISTANCE

Sec.
1242.1 Scope. [1238.1]
1242.2 Requests for assistance. [1238.2]

PART 1244--INSPECTION AND STUDIES

Subpart A--General
Sec.
1244.10 Authority. [1220.18 and 1220.50]
1244.20 Purpose. [1220.52]
Subpart B--Inspection Program
1244.30 Inspection process. [1220.54]
1244.32 Inspection report. [1220.56]
1244.34 Agency action plans and progress reports. [1220.58]
1244.36 Follow-up notification and reviews. [1220.60]
Subpart C--Studies Program
1244.40 Studies process. [1220.54]
1244.42 Studies report. [1220.56]
1244.44 Agency action plans and progress reports. [1220.58]
1244.46 Follow-up notification and reviews. [1220.60]

PART 1246--NARA RECORDS MANAGEMENT REPORTING

Sec.
1246.10 Authority. [New]
1246.20 Purpose. [New]
1246.30 Reports to Congress. [1220.16]
1246.40 Reports to Director of OMB. [1220.16]

[FR Doc. 04-5625 Filed 3-12-04; 8:45 am]
BILLING CODE 7515-01-P