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Subchapter B—Records Management

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Subchapter B—Records Management SUBCHAPTER B—RECORDS MANAGEMENT PART 1220—FEDERAL RECORDS; § 1220.3 What standards are used as GENERAL guidelines for Subchapter B? These regulations are in conformance Subpart A—General Provisions of with ISO 15489–1:2001, Information and Subchapter B documentation—Records management. Other standards relating to specific Sec. sections of the regulations are cited 1220.1 What is the scope of Subchapter B? where appropriate. 1220.2 What are the authorities for Sub- chapter B? § 1220.10 Who is responsible for 1220.3 What standards are used as guidelines records management? for Subchapter B? (a) The National Archives and 1220.10 Who is responsible for records man- Records Administration (NARA) is re- agement? sponsible for overseeing agencies’ ade- 1220.12 What are NARA’s records manage- quacy of documentation and records ment responsibilities? disposition programs and practices, 1220.14 Who must follow the regulations in and the General Services Administra- Subchapter B? tion (GSA) is responsible for overseeing 1220.16 What recorded information must be economy and efficiency in records managed in accordance with the regula- tions in Subchapter B? management. The Archivist of the 1220.18 What definitions apply to the regula- United States and the Administrator of tions in Subchapter B? GSA issue regulations and provide 1220.20 What NARA acronyms are used guidance and assistance to Federal throughout Subchapter B? agencies on records management pro- grams. NARA regulations are in this Subpart B—Agency Records Management subchapter. GSA regulations are in 41 Program Responsibilities CFR parts 102–193. (b) Federal agencies are responsible 1220.30 What are an agency’s records man- for establishing and maintaining a agement responsibilities? records management program that 1220.32 What records management principles complies with NARA and GSA regula- must agencies implement? tions and guidance. Subpart B of this 1220.34 What must an agency do to carry part sets forth basic agency records out its records management responsibil- management requirements. ities? AUTHORITY: 44 U.S.C. Chapters 21, 29, 31, § 1220.12 What are NARA’s records and 33. management responsibilities? (a) The Archivist of the United SOURCE: 74 FR 51014, Oct. 2, 2009, unless otherwise noted. States issues regulations and provides guidance and assistance to Federal § 1220.1 What is the scope of Sub- agencies on ensuring adequate and chapter B? proper documentation of the organiza- tion, functions, policies, decisions, pro- Subchapter B specifies policies for cedures, and essential transactions of Federal agencies’ records management the Federal Government and ensuring programs relating to proper records proper records disposition, including creation and maintenance, adequate standards for improving the manage- documentation, and records disposi- ment of records. tion. (b) NARA establishes standards for the retention of records having con- § 1220.2 What are the authorities for tinuing value (permanent records), and Subchapter B? assists Federal agencies in applying The regulations in this subchapter the standards to records in their cus- implement the provisions of 44 U.S.C. tody. Chapters 21, 29, 31, and 33. (c) Through a records scheduling and appraisal process, the Archivist of the 823 VerDate Mar<15>2010 12:12 Sep 29, 2011 Jkt 223139 PO 00000 Frm 00833 Fmt 8010 Sfmt 8010 Y:\SGML\223139.XXX 223139 erowe on DSK2VPTVN1PROD with CFR § 1220.14 36 CFR Ch. XII (7–1–11 Edition) United States determines which Fed- Comprehensive schedule is an agency eral records have temporary value and manual or directive containing descrip- may be destroyed and which Federal tions of and disposition instructions records have permanent value and for documentary materials in all phys- must be preserved and transferred to ical forms, record and nonrecord, cre- the National Archives of the United ated by a Federal agency or major States. The Archivist’s determination component of an Executive depart- constitutes mandatory authority for ment. Unless taken from General the final disposition of all Federal Records Schedules (GRS) issued by records. NARA, the disposition instructions for (d) The Archivist of the United records must be approved by NARA on States issues General Records Sched- one or more Standard Form(s) 115, Re- ules (GRS) authorizing disposition, quest for Records Disposition Author- after specified periods of time, of ity, prior to issuance by the agency. records common to several or all Fed- The disposition instructions for non- eral agencies. record materials are established by the agency and do not require NARA ap- § 1220.14 Who must follow the regula- proval. See also records schedule. tions in Subchapter B? Contingent records are records whose The regulations in Subchapter B final disposition is dependent on an ac- apply to Federal agencies as defined in tion or event, such as sale of property § 1220.18. or destruction of a facility, which will take place at some unspecified time in § 1220.16 What recorded information the future. must be managed in accordance Disposition means those actions taken with the regulations in Subchapter regarding records no longer needed for B? the conduct of the regular current The requirements in Subchapter B business of the agency. apply to documentary materials that Disposition authority means the legal meet the definition of Federal records. authorization for the retention and dis- See also Part 1222 of this subchapter. posal of records. For Federal records it is found on SF 115s, Request for § 1220.18 What definitions apply to the Records Disposition Authority, which regulations in Subchapter B? have been approved by the Archivist of As used in subchapter B— the United States. For nonrecord mate- Adequate and proper documentation rials, the disposition is established by means a record of the conduct of Gov- the creating or custodial agency. See ernment business that is complete and also records schedule. accurate to the extent required to doc- Documentary materials is a collective ument the organization, functions, term that refers to recorded informa- policies, decisions, procedures, and es- tion, regardless of the medium or the sential transactions of the agency and method or circumstances of recording. that is designed to furnish the informa- Electronic record means any informa- tion necessary to protect the legal and tion that is recorded in a form that financial rights of the Government and only a computer can process and that of persons directly affected by the satisfies the definition of a Federal agency’s activities. record under the Federal Records Act. Agency (see Executive agency and Fed- The term includes both record content eral agency). and associated metadata that the agen- Appraisal is the process by which the cy determines is required to meet NARA determines the value and the agency business needs. final disposition of Federal records, Evaluation means the selective or designating them either temporary or comprehensive inspection, audit, or re- permanent. view of one or more Federal agency Commercial records storage facility is a records management programs for ef- private sector commercial facility that fectiveness and for compliance with ap- offers records storage, retrieval, and plicable laws and regulations. It in- disposition services. cludes recommendations for correcting 824 VerDate Mar<15>2010 12:12 Sep 29, 2011 Jkt 223139 PO 00000 Frm 00834 Fmt 8010 Sfmt 8010 Y:\SGML\223139.XXX 223139 erowe on DSK2VPTVN1PROD with CFR National Archives and Records Administration § 1220.18 or improving records management poli- museum materials intended solely for cies and procedures, and follow-up ac- reference or exhibit. tivities, including reporting on and im- Permanent record means any Federal plementing the recommendations. record that has been determined by Executive agency means any executive NARA to have sufficient value to war- department or independent establish- rant its preservation in the National ment in the Executive branch of the Archives of the United States, even U.S. Government, including any wholly while it remains in agency custody. owned Government corporation. Permanent records are those for which Federal agency means any executive the disposition is permanent on SF 115, agency or any establishment in the Request for Records Disposition Au- Legislative or Judicial branches of the thority, approved by NARA on or after Government (except the Supreme May 14, 1973. The term also includes all Court, Senate, the House of Represent- records accessioned by NARA into the atives, and the Architect of the Capitol National Archives of the United States. and any activities under his direction). Personal files (also called personal pa- (44 U.S.C. 2901(14)). pers) are documentary materials be- Federal records (see records). longing to an individual that are not File means an arrangement of used to conduct agency business. Per- records. The term denotes papers, pho- sonal files are excluded from the defini- tographs, maps, electronic informa- tion of Federal records and are not tion, or other recorded information re- owned by the Government. gardless of physical form or character- Recordkeeping requirements means all istics, accumulated or maintained in statements in statutes, regulations, filing equipment, boxes, on electronic and agency directives or other authori- media, or on shelves, and occupying of- tative issuances, that provide general fice or storage space. or specific requirements for Federal Information system
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