Subchapter B—Records Management

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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 regulations 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 programs. 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 organization, 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

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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 information 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

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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 information 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 means the orga- agency personnel on particular records nized collection, processing, trans- to be created and maintained by the mission, and dissemination of informa- agency. tion in accordance with defined proce- Recordkeeping system is a manual or dures, whether automated or manual. electronic system that captures, orga- Metadata consists of preserved con- nizes, and categorizes records to facili- textual information describing the his- tate their preservation, retrieval, use, tory, tracking, and/or management of and disposition. an electronic document. Records or Federal records is defined in National Archives of the United States 44 U.S.C. 3301 as including ‘‘all books, is the collection of all records selected papers, maps, photographs, machine by the Archivist of the United States readable materials, or other documen- because they have sufficient historical tary materials, regardless of physical or other value to warrant their contin- form or characteristics, made or re- ued preservation by the Federal Gov- ceived by an agency of the United ernment and that have been trans- States Government under Federal law ferred to the legal custody of the Ar- or in connection with the transaction chivist of the United States, currently of public business and preserved or ap- through execution of a Standard Form propriate for preservation by that (SF) 258 (Agreement to Transfer agency or its legitimate successor as Records to the National Archives of evidence of the organization, functions, the United States). See also permanent policies, decisions, procedures, oper- record. ations or other activities of the Gov- Nonrecord materials are those Feder- ernment or because of the informa- ally owned informational materials tional value of the data in them (44 that do not meet the statutory defini- U.S.C. 3301).’’ (See also § 1222.10 of this tion of records (44 U.S.C. 3301) or that part for an explanation of this defini- have been excluded from coverage by tion). the definition. Excluded materials are Records center is defined in 44 U.S.C. extra copies of documents kept only for 2901(6) as an establishment maintained reference, stocks of publications and and operated by the Archivist (NARA processed documents, and library or Federal Records Center) or by another

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Federal agency primarily for the stor- vation by the National Archives and age, servicing, security, and processing Records Administration. This deter- of records which need to be preserved mination may take the form of: for varying periods of time and need (1) Records designated as disposable not be retained in office equipment or in an agency records disposition sched- space. See also records storage facility. ule approved by NARA (SF 115, Request Records management, as used in sub- for Records Disposition Authority); or chapter B, means the planning, con- (2) Records designated as disposable trolling, directing, organizing, train- in a General Records Schedule. ing, promoting, and other managerial Unscheduled records are Federal activities involved with respect to records whose final disposition has not records creation, records maintenance been approved by NARA on a SF 115, and use, and records disposition in Request for Records Disposition Au- order to achieve adequate and proper thority. Such records must be treated documentation of the policies and as permanent until a final disposition transactions of the Federal Govern- is approved. ment and effective and economical management of agency operations. § 1220.20 What NARA acronyms are Records schedule or schedule means used throughout Subchapter B? any of the following: As used in Subchapter B— (1) A Standard Form 115, Request for NARA means the National Archives Records Disposition Authority that has and Records Administration. been approved by NARA to authorize NAS means the Space and Security the disposition of Federal records; Management Division. (2) A General Records Schedule NR means the Office of Regional (GRS) issued by NARA; or Record Services. (3) A published agency manual or di- NWCS means the Special Media Ar- rective containing the records descrip- chives Services Division. tions and disposition instructions ap- NWM means Modern Records Pro- proved by NARA on one or more SF grams, which includes NARA records 115s or issued by NARA in the GRS. See management staff nationwide. also comprehensive schedule. NWME means the Electronic and Records storage facility is a records Special Media Records Services Divi- center or a commercial records storage sion. facility, as defined in this section, i.e., NWML means the Lifecycle Manage- a facility used by a Federal agency to ment Division. store Federal records, whether that fa- NWMW means the Washington Na- cility is operated and maintained by tional Records Center. the agency, by NARA, by another Fed- NWT means Preservation Programs. eral agency, or by a private commercial entity. Subpart B—Agency Records Retention period is the length of time Management Responsibilities that records must be kept. Series means file units or documents § 1220.30 What are an agency’s records arranged according to a filing or classi- management responsibilities? fication system or kept together be- (a) Under 44 U.S.C. 3101, the head of cause they relate to a particular sub- each Federal agency must make and ject or function, result from the same preserve records containing adequate activity, document a specific kind of and proper documentation of the orga- transaction, take a particular physical nization, functions, policies, decisions, form, or have some other relationship procedures, and essential transactions arising out of their creation, receipt, or of the agency. These records must be use, such as restrictions on access and designed to furnish the information use. Also called a records series. necessary to protect the legal and fi- Temporary record means any Federal nancial rights of the Government and record that has been determined by the of persons directly affected by the Archivist of the United States to have agency’s activities. insufficient value (on the basis of cur- (b) Under 44 U.S.C. 3102, the head of rent standards) to warrant its preser- each Federal agency must establish

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and maintain an active, continuing mentation of the agency comprehen- program for the economical and effi- sive records management program cient management of the records of the principles in § 1220.32; agency. (b) Advise NARA and agency man- (c) Agency records management pro- agers of the name(s) of the indi- grams must provide for: vidual(s) assigned operational responsi- (1) Effective controls over the cre- bility for the agency records manage- ation, maintenance, and use of records ment program. To notify NARA, send in the conduct of current business; and the name(s), e-mail and postal address- (2) Cooperation with the Archivist es, phone and fax numbers of the indi- and the Administrator of GSA in ap- vidual(s) to NARA (NWM), 8601 Adelphi plying standards, procedures, and techniques designed to improve the man- Road, College Park, MD 20740–6001 or to agement of records, promote the main- [email protected]. The tenance and security of records deemed name, title, and phone number of the appropriate for preservation, and fa- official or officials authorized by the cilitate the segregation and destruc- head of the agency to sign records dis- tion of records of temporary value. position schedules and requests for transfer of records to the custody of § 1220.32 What records management the National Archives must also be principles must agencies imple- submitted to NARA (NWM) or ment? [email protected]; Agencies must create and maintain (c) Issue a directive(s) establishing authentic, reliable, and usable records program objectives, responsibilities, and ensure that they remain so for the and authorities for the creation, main- length of their authorized retention pe- tenance, and disposition of agency riod. A comprehensive records manage- records. Copies of the directive(s) (in- ment program provides policies and cluding subsequent amendments or procedures for ensuring that: supplements) must be disseminated (a) Records documenting agency throughout the agency, as appropriate, business are created or captured; (b) Records are organized and main- and a copy must be sent to NARA tained to facilitate their use and en- (NWM); sure integrity throughout their author- (d) Assign records management re- ized retention periods; sponsibilities in each program (mis- (c) Records are available when need- sion) and administrative area to ensure ed, where needed, and in a usable for- incorporation of recordkeeping require- mat to conduct agency business; ments and records maintenance, stor- (d) Legal and regulatory require- age, and disposition practices into ments, relevant standards, and agency agency programs, processes, systems, policies are followed; and procedures; (e) Records, regardless of format, are (e) Integrate records management protected in a safe and secure environ- and archival requirements into the de- ment and removal or destruction is sign, development, and implementation carried out only as authorized in of electronic information systems as records schedules; and specified in § 1236.12 of this subchapter; (f) Continuity of operations is sup- (f) Provide guidance and training to ported by a vital records program (see all agency personnel on their records part 1223 of this subchapter). management responsibilities, including § 1220.34 What must an agency do to identification of Federal records, in all carry out its records management formats and media; responsibilities? (g) Develop records schedules for all To carry out the responsibilities records created and received by the specified in 44 U.S.C. 3101 and 3102, agency and obtain NARA approval of agencies must: the schedules prior to implementation, (a) Assign records management re- in accordance with 36 CFR parts 1225 sponsibility to a person and office with and 1226 of this subchapter; appropriate authority within the agen- (h) Comply with applicable policies, cy to coordinate and oversee imple- procedures, and standards relating to

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records management and record- SOURCE: 74 FR 51014, Oct. 2, 2009, unless keeping requirements issued by the Of- otherwise noted. fice of Management and Budget, NARA, GSA, or other agencies, as ap- Subpart A—Identifying Federal propriate (see § 1222.22 of this sub- Records chapter); (i) Institute controls ensuring that § 1222.1 What are the authorities for all records, regardless of format or me- Part 1222? dium, are properly organized, classified The statutory authorities for this or indexed, and described, and made part are 44 U.S.C. 2904, 3101, 3102, and available for use by all appropriate 3301. agency staff; and (j) Conduct formal evaluations to § 1222.2 What definitions apply to this measure the effectiveness of records part? management programs and practices, See § 1220.18 of this subchapter for and to ensure that they comply with definitions of terms used in part 1222. NARA regulations in this subchapter. § 1222.3 What standards are used as PART 1222—CREATION AND MAIN- guidance for this part? TENANCE OF FEDERAL RECORDS These regulations conform with guidance provided in ISO 15489–1:2001, Infor- Subpart A—Identifying Federal Records mation and documentation—Records management. Paragraphs 7.1 (Prin- Sec. 1222.1 What are the authorities for Part ciples of records management pro- 1222? grammes), 7.2 (Characteristics of a 1222.2 What definitions apply to this part? record), 8.3.5 (Conversion and migra- 1222.3 What standards are used as guidance tion), 8.3.6 (Access, retrieval and use), for this part? and 9.6 (Storage and handling) apply to 1222.10 How should agencies apply the stat- records creation and maintenance. utory definition of Federal records? 1222.12 What types of documentary mate- § 1222.10 How should agencies apply rials are Federal records? the statutory definition of Federal 1222.14 What are nonrecord materials? records? 1222.16 How are nonrecord materials managed? (a) The statutory definition of Fed- 1222.18 Under what conditions may non- eral records is contained in 44 U.S.C. record materials be removed from gov- 3301 and provided in § 1220.18 of this sub- ernment agencies? chapter. 1222.20 How are personal files defined and (b) Several key terms, phrases, and managed? concepts in the statutory definition of Subpart B—Agency Recordkeeping a Federal record are further explained Requirements as follows: (1) Documentary materials has the 1222.22 What records are required to provide meaning provided in § 1220.18 of this for adequate documentation of agency subchapter. business? 1222.24 How do agencies establish record- (2) Regardless of physical form or char- keeping requirements? acteristics means that the medium may 1222.26 What are the general recordkeeping be paper, film, disk, or other physical requirements for agency programs? type or form; and that the method of 1222.28 What are the series level record- recording may be manual, mechanical, keeping requirements? photographic, electronic, or any other 1222.30 When must agencies comply with combination of these or other tech- the recordkeeping requirements of other agencies? nologies. 1222.32 How do agencies manage data and (3) Made means the act of creating records created or received by contrac- and recording information by agency tors? personnel in the course of their official 1222.34 How must agencies maintain duties, regardless of the method(s) or records? the medium involved. AUTHORITY: 44 U.S.C. 2904, 3101, 3102, and (4) Received means the acceptance or 3301. collection of documentary materials by

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or on behalf of an agency or agency maintained to ensure adequate and personnel in the course of their official proper documentation if: duties regardless of their origin (for ex- (1) They were circulated or made ample, other units of their agency, pri- available to employees, other than the vate citizens, public officials, other creator, for official purposes such as agencies, contractors, Government approval, comment, action, rec- grantees) and regardless of how trans- ommendation, follow-up, or to commu- mitted (in person or by messenger, nicate with agency staff about agency mail, electronic means, or by any other business; and method). In this context, the term does (2) They contain unique information, not refer to misdirected materials. It such as substantive annotations or may or may not refer to loaned or comments that adds to a proper under- seized materials depending on the con- standing of the agency’s formulation ditions under which such materials and execution of basic policies, deci- came into agency custody or were used sions, actions, or responsibilities. by the agency. Advice of legal counsel (d) Record status of copies. The deter- should be sought regarding the mination as to whether a particular ‘‘record’’ status of loaned or seized ma- document is a record does not depend terials. upon whether it contains unique infor- (5) Preserved means the filing, stor- mation. Multiple copies of the same ing, or any other method of systemati- document and documents containing cally maintaining documentary mate- duplicative information may each have rials in any medium by the agency. record status depending on how they This term covers materials not only are used in conducting agency busi- actually filed or otherwise systemati- ness. cally maintained but also those tempo- § 1222.14 What are nonrecord mate- rarily removed from existing filing sys- rials? tems. Nonrecord materials are U.S. Govern- (6) Appropriate for preservation means ment-owned documentary materials documentary materials made or re- that do not meet the conditions of ceived which, in the judgment of the records status (see § 1222.12(b)) or that agency, should be filed, stored, or oth- are specifically excluded from the stat- erwise systematically maintained by utory definition of records (see 44 an agency because of the evidence of U.S.C. 3301). An agency’s records man- agency activities or information they agement program also needs to include contain, even if the materials are not managing nonrecord materials. There covered by its current filing or mainte- are three specific categories of mate- nance procedures. rials excluded from the statutory definition of records: § 1222.12 What types of documentary materials are Federal records? (a) Library and museum material (but only if such material is made or (a) General. To ensure that complete acquired and preserved solely for ref- and accurate records are made and re- erence or exhibition purposes), includ- tained in the Federal Government, ing physical exhibits, artifacts, and agencies must distinguish between other material objects lacking eviden- records and nonrecord materials by ap- tial value. plying the definition of records (see 44 (b) Extra copies of documents (but U.S.C. 3301 and 36 CFR 1220.18 and only if the sole reason such copies are 1222.10 of this subchapter) to agency preserved is for convenience of ref- documentary materials in all formats erence). and media. (c) Stocks of publications and of (b) Record status. Documentary mate- processed documents. Catalogs, trade rials are records when they meet the journals, and other publications that conditions specified in § 1222.10(b). are received from other Government (c) Working files and similar materials. agencies, commercial firms, or private Working files, such as preliminary institutions and that require no action drafts and rough notes, and other simi- and are not part of a case on which ac- lar materials, are records that must be tion is taken. (Stocks do not include

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serial or record sets of agency publica- § 1222.20 How are personal files de- tions and processed documents, includ- fined and managed? ing annual reports, brochures, pam- (a) Personal files are defined in phlets, books, handbooks, posters and § 1220.18 of this subchapter. This section maps.) does not apply to agencies and posi- § 1222.16 How are nonrecord materials tions that are covered by the Presi- managed? dential Records Act of 1978 (44 U.S.C. (a) Agencies must develop record- 2201–2207) (see 36 CFR part 1270 of this keeping requirements to distinguish chapter). records from nonrecord materials. (b) Personal files must be clearly des- (b) The following guidelines should ignated as such and must be main- be used in managing nonrecord mate- tained separately from the office’s offi- rials: cial records. (1) If a clear determination cannot be (1) Information about private (non- made, the materials should be treated agency) matters and agency business as records. Agencies may consult with must not be mixed in outgoing agency NARA for guidance. documents, such as correspondence and (2) Nonrecord materials must be messages. physically segregated from records or, (2) If information about private mat- for electronic non-record materials, ters and agency business appears in a readily identified and segregable from received document, the document is a records; Federal record. Agencies may make a (3) Nonrecord materials should be copy of the document with the personal purged when no longer needed for ref- information deleted or redacted, and erence. NARA’s approval is not re- treat the copy as the Federal record. quired to destroy such materials. (3) Materials labeled ‘‘personal,’’ § 1222.18 Under what conditions may ‘‘confidential,’’ or ‘‘private,’’ or simi- nonrecord materials be removed larly designated, and used in the trans- from Government agencies? action of public business, are Federal (a) Nonrecord materials, including records. The use of a label such as extra copies of unclassified or formally ‘‘personal’’ does not affect the status of declassified agency records kept only documentary materials in a Federal for convenience of reference, may be agency. removed by departing employees from Government agency custody only with Subpart B—Agency the approval of the head of the agency Recordkeeping Requirements or the individual(s) authorized to act for the agency on records issues. § 1222.22 What records are required to (b) National security classified infor- provide for adequate documenta- mation may not be removed from Gov- tion of agency business? ernment custody, except for a removal To meet their obligation for adequate of custody taken in accordance with and proper documentation, agencies the requirements of the National In- must prescribe the creation and main- dustrial Security Program established tenance of records that: under Executive Order 12829, as amend- (a) Document the persons, places, ed, or a successor Order. things, or matters dealt with by the (c) Information which is restricted agency. from release under the Privacy Act of 1974 (5 U.S.C. 552a), as amended, or (b) Facilitate action by agency offi- other statutes may not be removed cials and their successors in office. from Government custody except as (c) Make possible a proper scrutiny permitted under those statutes. by the Congress or other duly author- (d) This section does not apply to use ized agencies of the Government. of records and nonrecord materials in (d) Protect the financial, legal, and the course of conducting official agen- other rights of the Government and of cy business, including telework and au- persons directly affected by the Gov- thorized dissemination of information. ernment’s actions.

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(e) Document the formulation and for keeping accurate and complete execution of basic policies and deci- records of their activities. sions and the taking of necessary actions, including all substantive deci- § 1222.26 What are the general record- sions and commitments reached orally keeping requirements for agency (person-to-person, by telecommuni- programs? cations, or in conference) or electroni- To ensure the adequate and proper cally. documentation of agency programs, (f) Document important board, com- each program must develop record- mittee, or staff meetings. keeping requirements that identify: (a) The record series and systems § 1222.24 How do agencies establish that must be created and maintained recordkeeping requirements? to document program policies, proce- (a) Agencies must ensure that procedures, functions, activities, and trans- dures, directives and other issuances; actions; systems planning and development doc- (b) The office responsible for main- umentation; and other relevant records taining the record copies of those se- include recordkeeping requirements for ries and systems, and the applicable records in all media, including those system administrator responsible for records created or received on elec- ensuring authenticity, protection, and tronic mail systems. Recordkeeping re- ready retrieval of electronic records; quirements must: (c) Related records series and sys- (1) Identify and prescribe specific cat- tems; egories of records to be systematically (d) The relationship between paper created or received and maintained by and electronic files in the same series; agency personnel in the course of their and official duties; (e) Policies, procedures, and strategies for ensuring that records are re- (2) Specify the use of materials and tained long enough to meet pro- recording techniques that ensure the grammatic, administrative, fiscal, preservation of records as long as they legal, and historical needs as author- are needed by the Government; ized in a NARA-approved disposition (3) Specify the manner in which these schedule. materials must be maintained wherever held; § 1222.28 What are the series level rec- (4) Propose how long records must be ordkeeping requirements? maintained for agency business To ensure that record series and sys- through the scheduling process in part tems adequately document agency 1225 of this subchapter; policies, transactions, and activities, (5) Distinguish records from non- each program must develop record- record materials and comply with the keeping requirements for records series provisions in Subchapter B concerning and systems that include: records scheduling and disposition; (a) Identification of information and (6) Include procedures to ensure that documentation that must be included departing officials and employees do in the series and/or system; not remove Federal records from agen- (b) Arrangement of each series and cy custody and remove nonrecord ma- the records within the series and/or terials only in accordance with system; § 1222.18; (c) Identification of the location of (7) Define the special recordkeeping the records and the staff responsible responsibilities of program managers, for maintaining the records; information technology staff, systems (d) Policies and procedures for main- administrators, and the general record- taining the documentation of phone keeping responsibilities of all agency calls, meetings, instant messages, and employees. electronic mail exchanges that include (b) Agencies must provide the train- substantive information about agency ing described in § 1220.34(f) of this sub- policies and activities; chapter and inform all employees that (e) Policies and procedures for identi- they are responsible and accountable fying working files and for determining

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the record status of working files in technical documentation to permit un- paper and electronic form; and derstanding and use of the records and (f) Policies and procedures for main- data. taining series consisting of different (3) Contracts that require the cre- media. ation of data for the Government’s use must specify, in addition to the final § 1222.30 When must agencies comply product, delivery of background sup- with the recordkeeping require- porting data or other records that may ments of other agencies? have reuse value to the Government. Agencies must comply with record- To determine what background sup- keeping requirements that are imposed porting data or other records that con- government-wide by another agency tractors must deliver, program and with jurisdiction over the program or contracting officials must consult with activity being conducted, e.g., require- agency records and information man- ments for records concerning haz- agers and historians and, when appro- ardous waste. Affected agencies must priate, with other Government agen- include these requirements in appro- cies to ensure that all Government priate directives or other official needs are met, especially when the issuances prescribing the agency’s or- data deliverables support a new agency ganization, functions, or activities. mission or a new Government program. (4) Deferred ordering and delivery-of- § 1222.32 How do agencies manage records created or received by con- data clauses and rights-in-data clauses tractors? must be included in contracts whenever necessary to ensure adequate and (a) Agency officials responsible for proper documentation or because the administering contracts must safe- data have reuse value to the Govern- guard records created, processed, or in ment. the possession of a contractor or a non- Federal entity by taking the following (b) All data created for Government steps: use and delivered to, or falling under (1) Agencies must ensure that con- the legal control of, the Government tractors performing Federal govern- are Federal records subject to the pro- ment agency functions create and visions of 44 U.S.C. chapters 21, 29, 31, maintain records that document these and 33, the Freedom of Information Act activities. Agencies must specify in the (FOIA) (5 U.S.C. 552), as amended, and contract Government ownership and the Privacy Act of 1974 (5 U.S.C. 552a), the delivery to the Government of all as amended, and must be managed and records necessary for the adequate and scheduled for disposition only as pro- proper documentation of contractor- vided in Subchapter B. operated agency activities and pro- (c) Agencies must ensure that appro- grams in accordance with requirements priate authority for retention of classi- of the Federal Acquisition Regulation fied materials has been granted to con- (FAR) (Office of Federal Procurement tractors or non-Government entities Policy Act of 1974 (Pub. L. 93–400), as participating in the National Indus- amended by Pub. L. 96–83 41 U.S.C.), trial Security Program (NISP), estab- and, where applicable, the Defense Fed- lished under Executive order 12829, as eral Acquisition Regulation Supple- amended, or a successor Order. ment (DFARS) (48 CFR parts 200–299). (2) Records management oversight of § 1222.34 How must agencies maintain contract records is necessary to ensure records? that all recordkeeping needs are met. Agencies must implement a records All records created for Government use maintenance program so that complete and delivered to, or under the legal records are filed or otherwise identified control of, the Government must be and preserved, records can be readily managed in accordance with Federal found when needed, and permanent and law. In addition, electronic records and temporary records are physically seg- background electronic data specified regated from each other or, for elec- for delivery to the contracting agency tronic records, segregable. Agency must be accompanied by sufficient records maintenance programs must:

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(a) Institute procedures for orga- 1223.22 How must agencies protect vital nizing and storing records; records? (b) Maintain electronic, audiovisual 1223.24 When can vital records be destroyed? and cartographic, and microform AUTHORITY: 44 U.S.C. 3101; E.O. 12656, 53 FR records in accordance with 36 CFR 47491; E.O. 13231, 66 FR 53063. parts 1236, 1237, and 1238 of this sub- SOURCE: 74 FR 51014, Oct. 2, 2009, unless chapter, respectively; otherwise noted. (c) Assign responsibilities for maintenance of records in all formats within § 1223.1 What are the authorities for each agency component, including des- Part 1223? ignation of the officials that are re- (a) The authorities for this part are sponsible for maintenance and disposi- 44 U.S.C. 3101; Executive Orders 12656, tion of electronic records and manage- Assignment of Emergency Prepared- ment of automated systems used for ness Responsibilities, and 13231, Crit- recordkeeping; ical Infrastructure Protection in the (d) Institute reference and retrieval Information Age; and National Secu- procedures and controls that: rity Presidential Directive (NSPD 51)/ (1) Facilitate the finding, charging Homeland Security Presidential Direc- out, and refiling of records, including tive (HSPD–20) or applicable successor safeguards against loss during transit; directives. These authorities require and the head of each agency to make and (2) Ensure that access to electronic preserve records that contain adequate records minimizes the risk of unau- and proper documentation of the orga- thorized additions, deletions, or alter- nization and to perform national secu- ations; rity emergency preparedness functions. (e) Issue appropriate instructions to (b) These regulations are in conform- all agency employees on handling and ance with guidance provided in Federal protecting records; Continuity Directive (FCD) 1, Federal (f) Maintain records and nonrecord Executive Branch National Continuity materials separately, in accordance Program and Requirements, and FCD 2, with § 1222.16; Federal Executive Branch Mission Es- (g) Maintain personal files separately sential Function and Primary Mission from records in accordance with Essential Function Identification and § 1222.20; and Submission Process. (h) Comply with 36 CFR parts 1232 and 1234 of this subchapter when stor- § 1223.2 What definitions apply to this ing records in a records facility. part? (a) See § 1220.18 of this subchapter for PART 1223—MANAGING VITAL definitions of terms used throughout RECORDS Subchapter B, including part 1223. (b) As used in part 1223— Sec. Cycle means the periodic removal of 1223.1 What are the authorities for Part obsolete copies of vital records and 1223? their replacement with copies of cur- 1223.2 What definitions apply to this part? rent vital records. This may occur 1223.3 What standards are used as guidance for Part 1223? daily, weekly, quarterly, annually or 1223.4 What publications are incorporated at other designated intervals. by reference in this part? Disaster means an unexpected occur- 1223.10 What is the purpose of Part 1223? rence inflicting widespread destruction 1223.12 What are the objectives of a vital and distress and having long-term ad- records program? verse effects on agency operations. 1223.14 What elements must a vital records Each agency defines what a long-term program include? adverse effect is in relation to its most 1223.16 How are vital records identified? critical program activities. 1223.18 Must vital records be in a particular form or format? Emergency means a situation or an 1223.20 What are the requirements for ac- occurrence of a serious nature, devel- cessing vital records during an emer- oping suddenly and unexpectedly, and gency? demanding immediate action. This is

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generally of short duration, for exam- essential records needed to meet oper- ple, an interruption of normal agency ational responsibilities under national operations for a week or less. It may security emergencies or other emer- involve electrical failure or minor gency conditions or to protect the Gov- flooding caused by broken pipes. ernment’s rights or those of its citi- Emergency operating records are those zens. This is a program element of an types of vital records essential to the agency’s emergency management func- continued functioning or reconstitu- tion. tion of an organization during and after an emergency. Included are emer- § 1223.3 What standards are used as gency plans and directive(s), orders of guidance for Part 1223? succession, delegations of authority, These regulations conform with guid- staffing assignments, selected program ance provided in ISO 15489–1:2001. Para- records needed to continue the most graphs 4 (Benefits of records manage- critical agency operations, as well as ment), Paragraphs 7.1 (Principles of related policy or procedural records records management programmes) and that assist agency staff in conducting 9.6 (Storage and handling) apply to operations under emergency conditions vital records. and for resuming normal operations after an emergency. § 1223.4 What publications are incor- Legal and financial rights records are porated by reference in this part? that type of vital records essential to (a) Certain material is incorporated protect the legal and financial rights of by reference into this part with the ap- the Government and of the individuals proval of the Director of the Federal directly affected by its activities. Ex- Register under 5 U.S.C. 552(a) and 1 amples include accounts receivable CFR part 51. To enforce any edition records, social security records, payroll other than that specified in this sec- records, retirement records, and insur- tion, NARA must publish notice of ance records. These records were for- change in the FEDERAL REGISTER and merly defined as ‘‘rights-and-interests’’ the material must be available to the records. public. All approved material is avail- National security emergency means any able for inspection at the Office of the occurrence, including natural disaster, Federal Register. For information on military attack, technological emer- the availability of this material at the gency, or other emergency, that seri- Office of the Federal Register, call 202– ously degrades or threatens the na- 741–6030 or go to http://www.archives.gov/ tional security of the United States, as federallregister/ defined in Executive Order 12656. codeloflfederallregulations/ Off-site storage means a facility other ibrllocations.html. than an agency’s normal place of busi- (b) The material incorporated by ref- ness where records are kept until eligi- erence is also available for inspection ble for final disposition. Vital records at NARA’s Archives Library Informa- may be kept at off-site storage to en- tion Center (NWCCA), Room 2380, 8601 sure that they are not damaged or de- Adelphi Road, College Park, MD 20740– stroyed should an emergency occur in 6001, phone number (301) 837–3415, and is an agency’s normal place of business. available from the sources listed below. Vital records means essential agency (c) The following Web publication is records that are needed to meet oper- available on-line at http:// ational responsibilities under national www.fema.gov/pdf/about/offices/fcd1.pdf; security emergencies or other emer- it is published by the Department of gency conditions (emergency operating Homeland Security (DHS), 245 Murray records) or to protect the legal and fi- Lane, Washington, DC, 20528, phone nancial rights of the Government and number, (202) 245–2499. those affected by Government activi- (1) Federal Continuity Directive 1 ties (legal and financial rights records). (‘‘FCD 1’’): Federal Executive Branch Vital records program means the poli- National Continuity Program and Re- cies, plans, and procedures developed quirements, February 2008, IBR ap- and implemented and the resources proved for § 1223.14. needed to identify, use, and protect the (2) [Reserved]

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§ 1223.10 What is the purpose of Part and electronic records systems deter- 1223? mines which are vital records. Only the Part 1223 specifies policies and proce- most recent and complete sources of dures needed to establish a program to the information are vital records. identify, protect, and manage vital records as part of an agency’s con- § 1223.18 Must vital records be in a tinuity of operation plan designed to particular form or format? meet emergency management respon- (a) Vital records can be original sibilities. records or copies of records. Consult NARA records management guidance § 1223.12 What are the objectives of a on vital records at http:// vital records program? www.archives.gov/records-mgmt/vital- A vital records program has two ob- records/index.html for further informa- jectives: tion. (a) It provides an agency with the in- (b) Records may be maintained on a formation it needs to conduct its busi- variety of media including paper, mag- ness under other than normal oper- netic tape, optical disk, photographic ating conditions and to resume normal film, and microform. In selecting the business afterward; and media, agencies must ensure that (b) It enables agency officials to iden- equipment needed to read the specific tify and protect the most important media will be available following an records dealing with the legal and fi- emergency or disaster. nancial rights of the agency and of persons directly affected by the agency’s § 1223.20 What are the requirements actions. for accessing vital records during an emergency? § 1223.14 What elements must a vital records program include? Agencies must establish retrieval procedures for vital records that are To achieve compliance with this sec- easily implemented, especially since tion, an agency’s vital records program individuals unfamiliar with the records must contain all elements listed in may need to use them in an emergency. FCD 1, Annex I (incorporated by ref- For electronic records systems, agen- erence, see § 1223.4). In carrying out a cies must also ensure that appropriate vital records program, agencies must: hardware, software, and system docu- (a) Specify agency staff responsibil- mentation adequate to operate the sys- ities; (b) Appropriately inform all staff tem and access the records will be about vital records; available in case of an emergency. (c) Ensure that the designation of § 1223.22 How must agencies protect vital records is current and complete; vital records? and (d) Ensure that vital records are ade- Agencies must take appropriate quately protected, accessible, and im- measures to ensure the survival of the mediately usable. vital records or copies of vital records in case of an emergency. § 1223.16 How are vital records identi- (a) Duplication. Agencies may choose fied? to duplicate vital records as the pri- Agencies identify vital records in the mary protection method. Duplication context of the emergency management can be to the same medium as the function. Vital records are those that original record or to a different me- are needed to perform the most critical dium. When agencies choose duplica- functions of the agency and those need- tion as a protection method, the copy ed to protect legal and financial rights of the vital record stored off-site is of the Government and of the persons normally a duplicate of the original affected by its actions. Vital records record. The agency may store the origi- also include emergency plans and re- nal records off-site if their protection lated records that specify how an agen- is necessary, or if it does not need to cy will respond to an emergency. The keep the original records at its normal informational content of records series place of business.

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(b) Dispersal. Once records are dupli- 1224.3 What standards are used as guidance cated, they must be dispersed to sites a for this part? sufficient distance away to avoid being 1224.10 What must agencies do to implement subject to the same emergency. Dis- an effective records disposition program? persal sites may be other office loca- AUTHORITY: 44 U.S.C. 2111, 2904, 3102, and tions of the same agency or some other 3301.

site. SOURCE: 74 FR 51014, Oct. 2, 2009, unless (c) Storage considerations. Copies of otherwise noted. emergency operating vital records must be accessible in a very short pe- § 1224.1 What are the authorities for riod of time for use in the event of an Part 1224? emergency. Copies of legal and finan- The statutory authorities for this cial rights records may not be needed part are 44 U.S.C. 2111, 2904, 3102, and as quickly. In deciding where to store 3301. vital record copies, agencies must treat records that have the properties of § 1224.2 What definitions apply to this both categories, that is, emergency op- part? erating and legal and financial rights See § 1220.18 of this subchapter for records, as emergency operating definitions of terms used in part 1224. records. (1) The off-site copy of legal and fi- § 1224.3 What standards are used as nancial rights vital records may be guidance for this part? stored at an off-site agency location or, in accordance with § 1233.12 of this sub- These regulations conform with guid- chapter, at a records storage facility. ance provided in ISO 15489–1:2001, Infor- (2) When using a NARA records stor- mation and documentation—Records age facility for storing vital records management. Paragraphs 7.1 (Prin- that are duplicate copies of original ciples of records management pro- records, the agency must specify on the grammes), 8.3.7 (Retention and disposi- SF 135, Records Transmittal and Re- tion), 8.5 (Discontinuing records sys- ceipt, that they are vital records (du- tems), and 9.9 (Implementing disposi- plicate copies) and the medium on tion) apply to records disposition. which they are maintained. The agency must also periodically cycle (update) § 1224.10 What must agencies do to implement an effective records dis- them by removing obsolete items and position program? replacing them with the most recent version. In order to properly implement the provisions of §§ 1220.30(c)(2), 1220.32(e), § 1223.24 When can vital records be de- and 1220.34(c), (f), and (g) of this sub- stroyed? chapter agencies must: The disposition of vital records that (a) Ensure that all records are sched- are original records is governed by uled in accordance with part 1225 of records schedules approved by NARA this subchapter, schedules are imple- (see part 1225, Scheduling Records, of mented in accordance with part 1226 of this subchapter). Agencies must not de- this subchapter, and permanent records stroy original records that are not are transferred to the National Ar- scheduled. Duplicate copies created chives of the United States. and maintained for vital records pur- (b) Promptly disseminate and imple- poses only may be destroyed when su- ment NARA-approved agency schedules perseded or obsolete during the routine and additions and changes to the Gen- vital records cycle process. eral Records Schedules (GRS) in accordance with § 1226.12(a) of this sub- PART 1224—RECORDS DISPOSITION chapter. PROGRAMS (c) Regularly review agency-generated schedules, and, if necessary, up- Sec. date them. 1224.1 What are the authorities for Part (d) Incorporate records retention and 1224? disposition functionality during the de- 1224.2 What definitions apply to this part? sign, development, and implementation

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of new or revised recordkeeping sys- § 1225.3 What standards are used as tems (whether paper or electronic). See guidance for this part? § 1236.6 of this subchapter. These regulations conform with guid- (e) Provide training and guidance to ance provided in ISO 15489–1:2001, Infor- all employees on agency records dis- mation and documentation—Records position requirements and procedures management. Paragraphs 4 (Benefits of and other significant aspects of the records management), 6.3 (Responsibil- records disposition program. When a ities), 7.1 (Principles of records man- new or revised records schedule is agement programmes), 8.3.7 (Retention issued, provide specific guidance to em- and disposition), 9.2 (Determining how ployees responsible for applying the long to retain records), 9.10 (Docu- schedule. menting records management processes), 10 (Records management processes and controls), and 11 (Monitoring PART 1225—SCHEDULING and auditing) apply to records sched- RECORDS uling.

Sec. § 1225.10 What Federal records must 1225.1 What are the authorities for this be scheduled? part? All Federal records, including those 1225.2 What definitions apply to this part? created or maintained for the Govern- 1225.3 What standards are used as guidance ment by a contractor, must be covered for this part? by a NARA-approved agency disposi- 1225.10 What Federal records must be sched- tion authority, SF 115, Request for uled? Records Disposition Authority, or the 1225.12 How are records schedules devel- NARA General Records Schedules. oped? 1225.14 How do agencies schedule permanent § 1225.12 How are records schedules records? developed? 1225.16 How do agencies schedule temporary The principal steps in developing records? agency records schedules are listed 1225.18 How do agencies request records disposition authority? below. Additional details that may be 1225.20 When do agencies have to get GAO helpful are provided in the NARA approval for schedules? records management handbook, Dis- 1225.22 When must scheduled records be re- position of Federal Records at http:// scheduled? www.archives.gov/records-mgmt/publica- 1225.24 When can an agency apply pre- tions/disposition-of-federal-records/ viously approved schedules to electronic index.html. records? (a) Conduct a functional or work 1225.26 How do agencies change a disposi- process analysis to identify the function authority? tions or activities performed by each organization or unit. Identify the rec- AUTHORITY: 44 U.S.C. 2111, 2904, 2905, 3102, and Chapter 33. ordkeeping requirements for each. (b) Prepare an inventory for each SOURCE: 74 FR 51014, Oct. 2, 2009, unless function or activity to identify records otherwise noted. series, systems, and nonrecord materials. § 1225.1 What are the authorities for (c) Determine the appropriate scope this part? of the records schedule items, e.g., in- The statutory authorities for this dividual series/system component, part are 44 U.S.C. 2111, 2904, 2905, 3102, work process, group of related work and Chapter 33. processes, or broad program area. (d) Evaluate the period of time the § 1225.2 What definitions apply to this agency needs each records series or part? system based on use, value to agency See § 1220.18 of this subchapter for operations and oversight agencies, and definitions of terms used throughout legal obligations. Determine whether a Subchapter B, including part 1225. fixed or flexible retention period is more appropriate. For records proposed

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as temporary, specify a retention pe- (2) Complete description of the riod that meets agency business needs records including: and legal requirements. For records (i) Agency function; proposed as permanent records, iden- (ii) Physical type, if appropriate; tify how long the records are needed by (iii) Inclusive dates; the agency before they are transferred (iv) Statement of how records are ar- to NARA. ranged; (e) Determine whether the proposed (v) Statement of restrictions on ac- disposition should be limited to records cess under the FOIA if the records are in a specific medium. Records sched- proposed for immediate transfer; ules submitted to NARA for approval (3) Disposition instructions developed on or after December 17, 2007, are using the following guidelines: media neutral, i.e., the disposition in- (i) If the records series or system is structions apply to the described current and continuing, the SF 115 records in any medium, unless the must specify the period of time after schedule identifies a specific medium which the records will be transferred to for a specific series. the National Archives of the United (f) Compile a schedule for records, in- States, and if appropriate, the time pe- cluding descriptions and disposition in- riod for returning inactive records to structions for each item, using an SF an approved records storage facility. 115. (ii) If the records series or system is (g) Obtain internal clearances, as ap- nonrecurring, i.e., no additional propriate, from program offices and records will be created or acquired, the other stakeholders such as the legal agency must propose either that the counsel, chief information officer, elec- records be transferred to the National tronic systems manager, and agency Archives of the United States imme- historian, as appropriate. diately or set transfer for a fixed date in the future. (h) Obtain approval from the Govern- (c) Determination. NARA will appraise ment Accountability Office (GAO), the records to determine if they have when required (see § 1225.20(a) for the sufficient value to warrant archival categories that require GAO approval). permanent preservation. If NARA de- (i) Submit an SF 115 covering only termines either that records are not new or revised record items to NARA permanent or that the transfer instruc- for approval (see § 1225.18(d)). tions are not appropriate: (j) The disposition instructions on SF (1) NARA will notify the agency and 115s approved by the Archivist of the negotiate an appropriate disposition. United States are mandatory (44 U.S.C. The disposition instruction on the SF 3314). 115 will be modified prior to NARA approval; or § 1225.14 How do agencies schedule (2) If NARA and the agency cannot permanent records? agree on the disposition instruction for (a) Identification. Identify potentially an item(s), the items(s) will be with- permanent records. Useful guidelines drawn. In these cases, the agency must in the identification of permanent Fed- submit an SF 115 with a revised pro- eral records may be found in the NARA posal for disposition; unscheduled records management handbook, Dis- records must be treated as permanent position of Federal Records (see § 1225.12 until a new schedule is approved. for the Web site address of this publication). § 1225.16 How do agencies schedule (b) Requirements. Each item proposed temporary records? for permanent retention on an SF 115 (a) Identification. Federal agencies re- must include the following: quest authority to dispose of records, (1) Descriptive title of the records se- either immediately or on a recurring ries, component of an information sys- basis. Requests for immediate disposal tem, or appropriate aggregation of se- are limited to existing records that no ries and/or information system compo- longer accumulate. For recurring nents. The descriptive title must be records, approved schedules provide meaningful to agency personnel; continuing authority to destroy the

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records. The retention periods ap- manent and temporary records, either proved by NARA are mandatory, and on a recurring or one-time basis. the agency must dispose of the records (b) SF 115s include only records not after expiration of the retention pe- covered by the General Records Sched- riod, except as provided in §§ 1226.18 and ules (GRS) (see part 1227 of this sub- 1226.20 of this subchapter. chapter), deviations from the GRS (see (b) Requirements. Each item on an SF § 1227.12 of this subchapter), or pre- 115 proposed for eventual destruction viously scheduled records requiring must include the following: changes in retention periods or sub- (1) Descriptive title familiar to agen- stantive changes in description. cy personnel; (c) SF 115s do not include nonrecord (2) Description of the records including agency function, physical type(s) material. The disposition of nonrecord and informational content; materials is determined by agencies (3) Disposition instructions developed and does not require NARA approval. using the following guidelines: (d) The following elements are re- (i) If the record series, component of quired on a SF 115: an electronic information system, or (1) Title and description of the appropriate aggregation of series and/ records covered by each item. or automated system components is (2) Disposition instructions that can current and continuing, the SF 115 be readily applied. Records schedules must include file breaks, retention pe- must provide for: riod or event after which the records (i) The destruction of records that no will be destroyed, and, if appropriate, longer have sufficient value to justify transfer period for retiring inactive further retention (see § 1224.10(b) of this records to an approved records storage subchapter); and facility. (ii) The identification of potentially (ii) If the records series, system, or permanent records and provisions for other aggregation is nonrecurring, i.e., their transfer to the legal custody of no additional records will be created or NARA. acquired, the SF 115 must specify either immediate destruction or destruc- (3) Certification that the records pro- tion on a future date. posed for disposition are not now need- (c) Determination. If NARA deter- ed for the business of the agency or mines that the proposed disposition is will not be needed after the specified not consistent with the value of the retention periods. The signature of the records, it will request that the agency authorized agency representative on make appropriate changes. the SF 115 provides certification. (1) If NARA determines that records (e) NARA will return SF 115s that are proposed as temporary merit perma- improperly prepared. The agency must nent retention and transfer to the Na- make the necessary corrections and re- tional Archives of the United States, submit the form to NARA. the agency must change the disposition instruction prior to approval of the SF § 1225.20 When do agencies have to get 115. GAO approval for schedules? (2) If NARA and the agency cannot (a), Federal agencies must obtain the agree on the retention period for an approval of the Comptroller General item(s), the items(s) will be withdrawn. for the disposal of the following types In these cases, the agency must submit of records: an SF 115 with a revised proposal for disposition; unscheduled records must (1) Program records less than 3 years be treated as permanent until a new old, schedule is approved. (2) Deviations from General Records Schedule 2–10 (see § 1227.10 of this sub- § 1225.18 How do agencies request chapter for a definition of general records disposition authority? records schedules), and (a) Federal agencies submit an SF 115 (b) This approval must be obtained to NARA to request authority to sched- before NARA will approve the disposi- ule (establish the disposition for) per- tion request.

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§ 1225.22 When must scheduled AND the previously approved schedule records be rescheduled? is not media neutral. Agencies must submit an SF 115, Re- § 1225.24 When can an agency apply quest for Records Disposition Author- previously approved schedules to ity, to NARA in the following situa- electronic records? tions: If the conditions specified in (a) If an interagency reorganization § 1225.22(h) do not apply, the following reassigns functions to an existing de- conditions apply: partment or agency, the gaining orga- (a) Permanent records. nization must submit an SF 115 to (1) The agency may apply a pre- NARA within one year of the reorga- viously approved schedule for hard nization. Schedules approved for one copy records to electronic versions of department or independent agency do the permanent records when the elec- not apply to records of other depart- tronic records system replaces a single ments or agencies. series of hard copy permanent records (b) If a new department or agency as- or the electronic records consist of in- sumes functions from an existing one, formation drawn from multiple pre- the new agency must schedule records viously scheduled permanent series. documenting the acquired functions Agencies must notify the National Ar- and all other records not covered by chives and Records Administration, the GRS within two years. Modern Records Programs (NWM), 8601 (c) If an agency needs to deviate from Adelphi Road, College Park, MD 20740– retention periods in the GRS. 6001, phone number 301–837–1738, in (d) If an agency needs to change re- writing of series of records that have tention periods for records previously been previously scheduled as perma- appraised as temporary by NARA. nent in hard copy form, including spe- (e) If an agency needs to change the cial media records as described in 36 approved disposition of records from CFR 1235.52 of this subchapter. An permanent to temporary or vice versa. agency should send the notification to (f) If an agency needs to modify the the NARA unit that processes its description of records because the in- schedules. The notification must be formational content of the records and/ submitted within 90 days of when the or the function documented by the electronic recordkeeping system be- records changes. comes operational and must contain (g) If an agency decides to change the the: scope of the records schedule items to (i) Name of agency; include a greater or lesser aggregation (ii) Name of the electronic system; of records (see § 1225.12(c)), unless (iii) Organizational unit(s) or agency § 1225.24 applies. program that records support; (h) Agencies must submit a new (iv) Current disposition authority schedule to NARA for electronic reference; and versions of previously scheduled (v) Format of the records (e.g., data- records if: base, scanned images, digital photo- (1) The content and function of the graphs, etc.). records have changed significantly (2) If the electronic records include (e.g., the electronic records contain in- information drawn from both tem- formation that is substantially dif- porary and permanent hard copy series, ferent from the information included an agency either may apply a pre- in the hard copy series or are used for viously approved permanent disposi- different purposes). tion authority, after submitting the (2) The previously approved schedule notification required by paragraph explicitly excludes electronic records. (a)(1) of this section or may submit a (3) The electronic records consist of new schedule if the agency believes the program records maintained on an electronic records do not warrant per- agency Web site. manent retention. (4) The electronic records consist of (b) Temporary still pictures, sound re- temporary program records maintained cordings, motion picture film, and video in a format other than scanned image recordings. The agency must apply the

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previously approved schedule to digital (3) The current published records dis- versions. If changes in the approved position manual and item numbers; or schedule are required, follow § 1225.26. the General Records Schedules and (c) Scanned images of temporary item numbers that cover the records. records, including temporary program (b) Agencies must submit with the records. The agency must apply the pre- SF 115 an explanation and justification viously approved schedule. If changes for the change. in the approved schedule are required, (c) For temporary retention of follow § 1225.26. records beyond their normal retention (d) Other temporary records maintained period, see § 1226.18 of this subchapter. in an electronic format other than scanned images. (d) Agencies must secure NARA ap- (1) For temporary records that are proval of a change in the period of time covered by an item in a General that permanent records will remain in Records Schedule (other than those agency legal custody prior to transfer General Records Schedule items that to the National Archives of the United exclude electronic master files and States. To request approval, agencies databases) or an agency-specific sched- send written requests to the National ule that pertains to administrative Archives and Records Administration, housekeeping activities, apply the pre- Modern Records Programs (NWM), 8601 viously approved schedule. If the elec- Adelphi Road, College Park, MD 20740– tronic records consist of information 6001, phone number (301) 837–1738. drawn from multiple hard copy series, NARA approval is documented as an apply the previously approved schedule annotation to the schedule item. A new item with the longest retention period. SF 115 is not required to extend the (2) For temporary program records time period of agency legal custody. covered by a NARA-approved media neutral schedule item (i.e., the item appears on a schedule submitted to PART 1226—IMPLEMENTING NARA for approval before December 17, DISPOSITION 2007, that is explicitly stated to be media neutral, or it appears on a sched- Sec. ule submitted to NARA for approval on 1226.1 What are the general authorities for or after December 17, 2007, that is not this part? explicitly limited to a specific record- 1226.2 What definitions apply to this part? keeping medium), apply the previously 1226.3 What standards are used as guidance approved schedule. for this part? 1226.10 Must agencies apply approved sched- § 1225.26 How do agencies change a ules to their records? disposition authority? 1226.12 How do agencies disseminate approved schedules? Agencies must submit an SF 115 to 1226.14 What are the limitations in applying permanently change the approved dis- approved records schedule? position of records. Disposition au- 1226.16 Does NARA ever withdraw disposi- thorities are automatically superseded tion authority? by approval of a later SF 115 for the 1226.18 When may agencies temporarily ex- same records unless the later SF 115 tend retention periods? specifies an effective date. As provided 1226.20 How do agencies temporarily extend in § 1226.20(c) of this subchapter, agen- retention periods? cies are authorized to retain records el- 1226.22 When must agencies transfer perma- igible for destruction until the new nent records? schedule is approved. 1226.24 How must agencies destroy tem- (a) SF 115s that revise previously ap- porary records? proved disposition authorities must 1226.26 How do agencies donate temporary cite all of the following, if applicable: records? (1) The SF 115 and item numbers to AUTHORITY: 44 U.S.C. 2111, 2904, 3102, and be superseded; 3301. (2) The General Records Schedules and item numbers that cover the SOURCE: 74 FR 51014, Oct. 2, 2009, unless otherwise noted. records, if any; and

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§ 1226.1 What are the general authori- available Web site, the agency must ties for this part? provide the full Internet address The statutory authorities are 44 (URL). U.S.C. 2107, 2111, 2904, 3102, 3301 and 3302. § 1226.14 What are the limitations in applying approved records schedules? § 1226.2 What definitions apply to this part? Agencies must apply the approved See § 1220.18 of this subchapter for records disposition schedules to their definitions of terms used throughout agency’s records as follows Subchapter B, including part 1226. (a) Records described by items marked ‘‘disposition not approved’’ or § 1226.3 What standards are used as ‘‘withdrawn’’ may not be destroyed guidance for this part? until a specific disposition has been ap- These regulations conform with guid- proved by NARA. ance in ISO 15489–1:2001, Information (b) Disposition authorities for items and documentation—Records manage- on approved SF 115s that specify an or- ment, sections 8.3.7 (Retention and dis- ganizational component of the depart- position), 8.5 (Discontinuing records ment or independent agency as the cre- systems), 9.2 (Determining how long to ator or custodian of the records may be retain records), and 9.9 (Implementing applied to the same records after inter- disposition). nal reorganization, but only if the nature, content, and functional impor- § 1226.10 Must agencies apply ap- tance of the records remain the same. proved schedules to their records? Authority approved for items described The application of approved sched- in a functional format may be applied ules is mandatory except as provided in to any organizational component with- §§ 1226.16 and 1226.18. Federal records in the department or independent agen- must be retained as specified in the cy that is responsible for the relevant schedule to conduct Government busi- function. ness, protect rights, avoid waste, and (c) Disposition authorities approved preserve permanent records for trans- for one department or independent fer to the National Archives of the agency may not be applied to records United States. of another department or agency. De- partments or agencies that acquire § 1226.12 How do agencies disseminate records from another department or approved schedules? agency, and/or continue creating the (a) Agencies must issue disposition same series of records previously cre- authorities through their internal di- ated by another department or agency rectives system within six months of through interagency reorganization approval of the SF 115 or GRS to en- must promptly submit an SF 115 to sure proper distribution and applica- NARA for disposition authorization. tion of the schedule. The directive Until the new records schedule is ap- must cite the legal authority (GRS or proved, the records are unscheduled. SF 115 and item numbers) for each See § 1225.22 of this subchapter. schedule item covering records. (d) Unless otherwise specified, newly (b) Agencies must send, via link or approved disposition authorities apply file, an electronic copy of each pub- retroactively to all existing records as lished agency schedule, directive, and described in the schedule. other policy issuance relating to (e) When required by court order (i.e., records disposition to NARA at order for expungement or destruction), [email protected] when the an agency may destroy temporary directive, manual, or policy issuance is records before their NARA-authorized posted or distributed. disposition date. In accordance with (c) The submission must include the § 1230.14 of this subchapter, an agency name, title, agency, address, and phone must notify the National Archives and number of the submitter. If the com- Records Administration, Modern prehensive records schedule or other Records Programs (NWM), 8601 Adelphi policy issuance is posted on a publicly Road, College Park, MD 20740–6001,

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phone number (301) 837–1738, when per- the NARA-approved disposition in- manent or unscheduled records are to structions. be destroyed in response to a court (d) Agencies must submit an SF 115 order. If the records have significant to NARA to change schedule provisions historical value, NARA will promptly on a continuing basis in accordance advise the agency of any concerns over with § 1225.26 of this subchapter. Agen- their destruction. cies may retain records eligible for destruction until the new schedule is ap- § 1226.16 Does NARA ever withdraw proved. disposition authority? (a) When required to ensure the pres- § 1226.20 How do agencies temporarily extend retention periods? ervation of Government records, or when required by an emergency, or to (a) Agencies must secure NARA writ- maintain efficiency of Government op- ten approval to retain records series or erations, NARA will withdraw disposal systems that are eligible for destruc- authorizations in approved schedules tion under NARA-approved schedules (44 U.S.C. 2909). This withdrawal may except when: apply to particular items on agency (1) The agency has requested a schedules or may apply to all existing change in the records schedule in ac- authorizations for a specified type of cordance with § 1225.26 of this sub- record in any or all agencies. chapter, in which case the agency is authorized to retain records eligible for (b) To both impose and rescind the destruction until the new SF 115 is ap- withdrawal, NARA will notify the af- proved; fected agency or agencies in writing, (2) The records will be needed for less either by letter or NARA bulletin. than one year; or § 1226.18 When may agencies tempo- (3) A court order requires retention rarily extend retention periods? of the records. (b) To request an extension, agencies (a) Agencies may temporarily retain must send a letter to the National Ar- records approved for destruction be- chives and Records Administration, yond their NARA-approved retention Modern Records Programs (NWM), 8601 period if special circumstances alter Adelphi Road, College Park, MD 20740– the normal administrative, legal, or 6001, phone number (301) 837–1738. Along fiscal value of the records. with a justification, the request must (1) Agencies must not retain records include: whose disposal after a specified period (1) A concise description of the is required by statute, unless retention records series for which the extension is ordered by a Court. is requested. (2) In determining whether or not to (2) A citation to the agency records temporarily extend the retention pe- schedule or the GRS currently gov- riod of records, agencies must ensure erning disposition of the records; that the extension of retention is con- (3) A statement of the estimated pe- sistent with the requirement contained riod of time that the records will be re- in 5 U.S.C. 552a (Privacy Act of 1974, as quired; and amended) that records concerning indi- (4) For records in the agency’s cus- viduals are maintained only if relevant tody, a statement of the current and and necessary to accomplish a purpose proposed physical location of the of the agency that is required by law or records. Executive order. (c) Agencies must ensure that records (b) If the records that are to be tem- in records storage facilities are re- porarily retained beyond their ap- tained for the duration of the exten- proved destruction date have been sion. transferred to records storage facilities, agencies must notify the facility. § 1226.22 When must agencies transfer (c) Once the special circumstances permanent records? that require extended retention of All records scheduled as permanent records have elapsed, agencies must de- must be transferred to the National Ar- stroy the records in accordance with chives of the United States after the

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period specified on the SF 115 in ac- formation can be compromised in any cordance with procedures specified way by reuse of the media. under § 1235.12 of this subchapter. § 1226.26 How do agencies donate tem- § 1226.24 How must agencies destroy porary records? temporary records? (a) Agencies must obtain written ap- (a) Sale or salvage of unrestricted proval from NARA before donating records—(1) Paper records. Paper records records eligible for disposal to an ap- to be destroyed normally must be sold propriate person, organization, institu- as wastepaper, or otherwise salvaged. tion, corporation, or government (in- All sales must follow the established cluding a foreign government) that has procedures for the sale of surplus per- requested them. Records that are not sonal property. (See 41 CFR part 101— eligible for disposal cannot be donated. 45, Sale, Abandonment, or Destruction (b) Agencies request the approval of of Personal Property.) The contract for such a donation by sending a letter to sale must prohibit the resale of all the National Archives and Records Ad- records for use as records or docu- ministration, Modern Records Pro- ments. grams (NWM), 8601 Adelphi Road, Col- (2) Records on electronic and other lege Park, MD 20740–6001, phone num- media. Records other than paper ber (301) 837–1738. The request must in- records (audio, visual, and electronic clude: (1) The name of the department or records on physical media data tapes, agency, and relevant subdivisions, hav- disks, and diskettes) may be salvaged ing custody of the records; and sold in the same manner and under (2) The name and address of the pro- the same conditions as paper records. posed recipient of the records; (b) Destruction of unrestricted records. (3) A list containing: Unrestricted records that agencies can- (i) Description of the records to be not sell or otherwise salvage must be transferred, destroyed by burning, pulping, shred- (ii) The inclusive dates of the ding, macerating, or other suitable records, means authorized by implementing (iii) The SF 115 or GRS and item regulations issued under E.O. 12958, as numbers that authorize destruction of amended or its successor. the records; (c) Destruction of classified or otherwise (4) A statement providing evidence: restricted records. If the records are re- (i) That the proposed donation is in stricted because they are national se- the best interests of the Government, curity classified or exempted from dis- (ii) That the proposed recipient closure by statute, including the Pri- agrees not to sell the records as records vacy Act, or regulation: or documents, and (1) Paper records. For paper records, (iii) That the donation will be made the agency or its wastepaper con- without cost to the U.S. Government; tractor must definitively destroy the (5) A certification that: information contained in the records (i) The records contain no informa- by one of the means specified in para- tion the disclosure of which is prohib- graph (b) of this section and their de- ited by law or contrary to the public struction must be witnessed either by a interest, and/or Federal employee or, if authorized by (ii) The records proposed for transfer the agency, by a contractor employee. to a person or commercial business are (2) Electronic records. Electronic directly pertinent to the custody or op- records scheduled for destruction must erations of properties acquired from be disposed of in a manner that ensures the Government, and/or protection of any sensitive, propri- (iii) A foreign government desiring etary, or national security informa- the records has an official interest in tion. Magnetic recording media pre- them. viously used for electronic records con- (c) NARA will determine whether the taining sensitive, proprietary, or na- donation is in the public interest and tional security information must not notify the requesting agency of its de- be reused if the previously recorded in- cision in writing. If NARA determines

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such a proposed donation is contrary to § 1227.3 What standards are used as the public interest, the agency must guidance for this part? destroy the records in accordance with These regulations conform with guid- the appropriate disposition authority. ance provided in ISO 15489–1:2001, Infor- mation and documentation—Records PART 1227—GENERAL RECORDS management, paragraphs 9.2 (Deter- SCHEDULES mining how long to retain records) and 9.9 (Implementing disposition). Sec. 1227.1 What are the authorities for Part 1227? § 1227.10 What are General Records 1227.2 What definitions apply to this part? Schedules (GRS)? 1227.3 What standards are used as guidance General Records Schedules (GRS) are for this part? schedules issued by the Archivist of the 1227.10 What are General Records Schedules (GRS)? United States that authorize, after 1227.12 When must agencies apply the GRS? specified periods of time, the destruc- 1227.14 How do I obtain copies of the GRS? tion of temporary records or the trans- AUTHORITY: 44 U.S.C. 3303a(d). fer to the National Archives of the United States of permanent records SOURCE: 74 FR 51014, Oct. 2, 2009, unless otherwise noted. that are common to several or all agencies. § 1227.1 What are the authorities for Part 1227? § 1227.12 When must agencies apply The statutory authority for this part the GRS? is 44 U.S.C. 3303a(d). (a) Agencies apply the disposition instructions of the GRS, as provided in § 1227.2 What definitions apply to this the following table. part? See § 1220.18 of this subchapter for definitions of terms used in part 1227.

When NARA issues a new or revised GRS, and . . . Then . . .

(1) The new or revised GRS states that the provisions must be All agencies must follow the disposition instructions of the followed without exception. GRS, regardless of whether or not they have existing schedules. (2) Your agency does not have an existing schedule for these Your agency must follow the disposition instructions of the records.. GRS. If your agency’s needs require a different retention period, then your agency must submit an SF 115 in accordance with 36 CFR part 1225 of this subchapter, and a justification for the deviation. (3) When your agency has an existing schedule and the new Your agency may follow the disposition instructions in either or revised GRS permits use of existing agency-specific the GRS or the existing agency schedule, but it must follow schedules. the same instructions throughout the agency and instruct its staff to do so. If your agency chooses to follow its own schedule, then it must notify NARA within 120 days of the issuance of the new or revised GRS. (4) Your agency does not create or maintain any of the records No action is required. addressed by that GRS.

(b) Except as provided in the table in § 1227.14 How do I obtain copies of the paragraph (a), agencies must incor- GRS? porate in their disposition manual or (a) The GRS and instructions for otherwise disseminate new and revised their use are available online at http:// GRS within 6 months after NARA has www.archives.gov/records-mgmt/ardor/ issued the GRS Transmittal. records-schedules.html. They are also (c) NARA may, at its discretion, available by writing to the National apply the provisions of the GRS to Archives and Records Administration, records in its legal custody, subject to Modern Records Programs (NWM), 8601 the provisions of § 1235.34 of this sub- Adelphi Road, College Park, MD 20740– chapter. 6001, phone number (301) 837–1738.

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(b) NARA distributes new and revised § 1228.12 How do agencies obtain ap- GRS to Federal agencies under sequen- proval to loan permanent or un- tially numbered GRS transmittals. scheduled records? (a) An agency proposing to loan per- PART 1228—LOAN OF PERMANENT manent or unscheduled records must AND UNSCHEDULED RECORDS prepare a written loan agreement with the proposed recipient. The agreement Sec. must include: 1228.1 What are the authorities for this (1) The name of the department or part? agency and subdivisions having cus- 1228.2 What definitions apply to this part? tody of the records; 1228.8 Do loans of temporary records require (2) The name and address of the pro- NARA approval? posed recipient of the records; 1228.10 When do loans of permanent and unscheduled records require NARA ap- (3) A list containing: proval? (i) Identification of the records to be 1228.12 How do agencies obtain approval to loaned, by series or system; loan permanent or unscheduled records? (ii) The inclusive dates for each se- 1228.14 How will NARA handle a loan re- ries or system; quest? (iii) The volume and media of the 1228.16 When must agencies retrieve records records to be loaned; and that have been loaned? (iv) The NARA disposition job (SF AUTHORITY: 44 U.S.C. 2904. 115) and item numbers covering the SOURCE: 74 FR 51014, Oct. 2, 2009, unless records, if any. otherwise noted. (4) A statement of the purpose and duration of the loan; § 1228.1 What are the authorities for (5) A statement specifying any re- this part? strictions on the use of the records and The statutory authority for this part how these restrictions will be imposed is 44 U.S.C. 2904. by the recipient; (6) A certification that the records § 1228.2 What definitions apply to this will be stored in areas with security part? and environmental controls equal to See § 1220.18 of this subchapter for those specified in part 1234 of this sub- definitions of terms used in part 1228. chapter; and (7) A signature block for the Archi- § 1228.8 Do loans of temporary records vist of the United States. The loan require NARA approval? must not take place until the Archivist Loans of temporary records between has signed the agreement. Federal agencies or to non-Federal re- (b) On request, NARA may allow an cipients do not require approval from agency to prepare an annual loan NARA. The lending agency is respon- agreement covering multiple transfers sible for documenting the loan and re- from the same series of records to an- turn of the records. other single Federal agency. (c) The agency must send a written § 1228.10 When do loans of permanent request to the National Archives and and unscheduled records require Records Administration, Modern NARA approval? Records Programs (NWM), 8601 Adelphi Loans of permanent or unscheduled Road, College Park, MD 20740–6001, records between Federal agencies or to phone number (301) 837–1738, transmit- non-Federal recipients require prior ting the proposed loan agreement, cit- written approval from NARA. The loan ing the rationale for not providing cop- of permanent or unscheduled records ies in place of the original records, and increases the likelihood of the records specifying the name, title, and phone becoming lost, misplaced, or incor- number of an agency contact. The re- porated into other files. Agencies quest must be submitted or approved should consider reproducing or scan- by the individual authorized to sign ning the records in response to a loan records schedules as described in request. § 1220.34(b) of this subchapter.

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§ 1228.14 How will NARA handle a loan § 1229.2 What are the authorities for request? this part? (a) NARA will review the request The statutory authorities for this and, if it is approved, return the signed part are 44 U.S.C. 3310 and 3311. agreement to the agency within 30 § 1229.3 What definitions apply to this days. part? (b) NARA will deny the request within 30 days if the records are due or past See § 1220.18 of this subchapter for definitions of terms used in part 1229. due to be transferred to the National Archives of the United States in ac- § 1229.10 What steps must be taken cordance with part 1235 of this sub- when records are a continuing men- chapter, if the loan would endanger the ace to health or life, or to property? records, or if the loan would otherwise When NARA and the agency that has violate the regulations in 36 CFR chap- custody of them jointly determine that ter XII, subchapter B. NARA will no- records in the custody of an agency of tify the agency in writing if it dis- the U.S. Government are a continuing approves the loan and the reasons for menace to human health or life, or to the disapproval of the loan. property, NARA will authorize the agency to eliminate the menace imme- § 1228.16 When must agencies retrieve diately by any method necessary: records that have been loaned? (a) When an agency identifies records An agency must contact the recipi- that pose a continuing menace to ent of loaned permanent or unsched- human health or life, or to property, uled records 30 days prior to the expira- the records officer or other designee tion of the loan period (as stated in the must immediately notify the National loan agreement) to arrange for the re- Archives and Records Administration, Modern Records Programs (NWM), 8601 turn of the records. If the agency ex- Adelphi Road, College Park, MD 20740– tends the duration of the loan, it must 6001, phone number (301) 837–1738. The notify NARA (see § 1228.12(b)) in writ- notice must specify the description of ing, specifying the reason for the ex- the records, their location and quan- tension and providing the new expira- tity, and the nature of the menace. No- tion date of the loan. tice may be given via e-mail to [email protected], or via PART 1229—EMERGENCY AUTHOR- phone, (301) 837–1738, or fax, (301) 837– IZATION TO DESTROY RECORDS 3698, to NWM or the NARA Regional Administrator. Sec. (b) If NARA concurs in a determina- 1229.1 What is the scope of this part? tion that the records must be de- 1229.2 What are the authorities for this stroyed, NARA will notify the agency part? to immediately destroy the records. 1229.3 What definitions apply to this part? (c) If NARA does not concur that the 1229.10 What steps must be taken when menace must be eliminated by destruc- records are a continuing menace to tion of the records, NARA will advise health or life, or to property? the agency on remedial action to ad- 1229.12 What are the requirements during a dress the menace. state of war or threatened war? § 1229.12 What are the requirements AUTHORITY: 44 U.S.C. 3310 and 3311. during a state of war or threatened SOURCE: 74 FR 51014, Oct. 2, 2009, unless war? otherwise noted. (a) Destruction of records outside the territorial limits of the continental § 1229.1 What is the scope of this part? United States is authorized whenever, This part describes certain condi- during a state of war between the tions under which records may be de- United States and any other nation or stroyed without regard to the provi- when hostile action appears imminent, sions of part 1226 of this subchapter. the head of the agency that has custody of the records determines that

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their retention would be prejudicial to tics of a record), 8.2 (Records systems the interest of the United States, or characteristics), and 8.3 (Designing and that they occupy space urgently need- implementing records systems). ed for military purposes and are without sufficient administrative, fiscal, § 1230.3 What definitions apply to this legal, historical, or other value to war- part? rant their continued preservation. (a) See § 1220.18 of this subchapter for (b) Within six months after the de- definitions of terms used throughout struction of any records under this au- Subchapter B, including part 1230. thorization, the agency official who di- (b) As used in part 1230— rected the destruction must submit to Alteration means the unauthorized the National Archives and Records Ad- annotation, addition, or deletion to a ministration, Modern Records Pro- record. grams (NWM), 8601 Adelphi Road, Col- Deface means to obliterate, mar, or lege Park, MD 20740–6001, phone num- spoil the appearance or surface of a ber (301) 837–1738, a written statement record that impairs the usefulness or explaining the reasons for the destruc- value of the record. tion and a description of the records and how, when, and where the destruc- Removal means selling, donating, tion was accomplished. loaning, transferring, stealing, or otherwise allowing a record to leave the custody of a Federal agency without PART 1230—UNLAWFUL OR ACCI- the permission of the Archivist of the DENTAL REMOVAL, DEFACING, United States. ALTERATION, OR DESTRUCTION Unlawful or accidental destruction (also OF RECORDS called unauthorized destruction) means disposal of an unscheduled or perma- Sec. nent record; disposal prior to the end of 1230.1 What are the authorities for part the NARA-approved retention period of 1230? a temporary record (other than court- 1230.2 What standards are used as guidance for this part? ordered disposal under § 1226.14(d) of 1230.3 What definitions apply to this part? this subchapter); and disposal of a 1230.10 Who is responsible for preventing record subject to a FOIA request, liti- the unlawful or accidental removal, de- gation hold, or any other hold require- facing, alteration, or destruction of ment to retain the records. records? 1230.12 What are the penalties for unlawful § 1230.10 Who is responsible for pre- or accidental removal, defacing, alter- venting the unlawful or accidental ation, or destruction of records? removal, defacing, alteration, or de- 1230.14 How do agencies report incidents? struction of records? 1230.16 How does NARA handle allegations of damage, alienation, or unauthorized The heads of Federal agencies must: destruction of records? (a) Prevent the unlawful or acci- 1230.18 What assistance is available to agen- dental removal, defacing, alteration, or cies to recover unlawfully removed destruction of records. Section records? 1222.24(a)(6) of this subchapter pro- AUTHORITY: 44 U.S.C. 3105 and 3106. hibits removing records from the legal SOURCE: 74 FR 51014, Oct. 2, 2009, unless custody of the agency. Records must otherwise noted. not be destroyed except under the provisions of NARA-approved agency § 1230.1 What are the authorities for records schedules or the General part 1230? Records Schedules issued by NARA; The statutory authorities for this (b) Take adequate measures to in- part are 44 U.S.C. 3105 and 3106. form all employees and contractors of the provisions of the law relating to § 1230.2 What standards are used as unauthorized destruction, removal, al- guidance for this part? teration or defacement of records; These regulations conform with guid- (c) Implement and disseminate poli- ance provided in ISO 15489–1:2001, par. cies and procedures to ensure that 6.3 (Responsibilities), 7.2 (Characteris- records are protected against unlawful

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or accidental removal, defacing, alter- (a) If the threat has not yet resulted ation and destruction; and in damage, removal, or destruction, (d) Direct that any unauthorized re- NARA will contact the agency by moval, defacing, alteration or destruc- phone promptly and follow up in writ- tion be reported to NARA. ing within five business days. (b) If records have allegedly been § 1230.12 What are the penalties for damaged, removed, or destroyed, unlawful or accidental removal, defacing, alteration, or destruction of NARA will notify the agency in writing records? promptly with a request for a response The penalties for the unlawful or ac- within 30 days. cidental removal, defacing, alteration, § 1230.18 What assistance is available or destruction of Federal records or the to agencies to recover unlawfully attempt to do so, include a fine, im- removed records? prisonment, or both (18 U.S.C. 641 and 2071). NARA will assist the head of the agency in the recovery of any unlaw- § 1230.14 How do agencies report inci- fully removed records, including con- dents? tacting the Attorney General, if appro- The agency must report promptly priate. any unlawful or accidental removal, defacing, alteration, or destruction of PART 1231—TRANSFER OF records in the custody of that agency RECORDS FROM THE CUSTODY to the National Archives and Records OF ONE EXECUTIVE AGENCY TO Administration, Modern Records Pro- grams (NWM), 8601 Adelphi Road, Col- ANOTHER lege Park, MD 20740–6001, phone number 301–837–1738. Sec. (a) The report must include: 1231.1 What is the authority for part 1231? (1) A complete description of the 1231.2 What definitions apply to this part? records with volume and dates if 1231.10 Who has the authority to approve the transfer of records from the custody known; of one executive agency to another? (2) The office maintaining the 1231.12 How do executive agencies request records; to transfer records to another executive (3) A statement of the exact cir- agency? cumstances surrounding the removal, 1231.14 May the records of terminated agen- defacing, alteration, or destruction of cies be transferred to another agency? records; 1231.16 What restrictions are there on use of (4) A statement of the safeguards es- transferred records? tablished to prevent further loss of doc- 1231.18 When are records transferred be- umentation; and tween executive agencies without NARA (5) When appropriate, details of the approval? actions taken to salvage, retrieve, or AUTHORITY: 44 U.S.C. 2908. reconstruct the records. (b) The report must be submitted or SOURCE: 74 FR 51014, Oct. 2, 2009, unless approved by the individual authorized otherwise noted. to sign records schedules as described § 1231.1 What is the authority for part in § 1220.34(b) of this subchapter. 1231? § 1230.16 How does NARA handle alle- The authority for this part is 44 gations of unlawful or accidental U.S.C. 2908. removal, defacing, alteration, or destruction? § 1231.2 What definitions apply to this Upon receiving any credible informa- part? tion that records are at risk of actual, See § 1220.18 of this subchapter for impending, or threatened damage, definitions of terms used throughout alienation, or unauthorized destruc- Subchapter B, including this part. tion, NARA will contact the agency as follows:

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§ 1231.10 Who has the authority to ap- tions are removed by agreement be- prove the transfer of records from tween the agencies concerned. the custody of one executive agency to another? § 1231.18 When are records transferred between executive agencies without NARA must approve in writing the NARA approval? transfer of records from the custody of one executive agency to another, ex- Records are transferred between except as provided in § 1231.18(a). ecutive agencies without NARA approval when: § 1231.12 How do executive agencies (a) Records are transferred to a request to transfer records to an- NARA or agency-operated records cen- other executive agency? ter or to the National Archives of the An executive agency that proposes to United States in accordance with Parts transfer records to another agency 1232, 1233, and 1235 of this subchapter; must request approval of the transfer (b) Temporary records are loaned for of records in writing from the National official use; Archives and Records Administration, (c) The transfer of records or func- Modern Records Programs (NWM), 8601 tions or both is required by statute, Adelphi Road, College Park, MD 20740– Executive Order, Presidential reorga- 6001, phone number (301) 837–1738. The nization plan, or Treaty, or by specific request must include: determinations made thereunder; (a) A concise description of the (d) The records are transferred be- records to be transferred, including the tween two components of the same ex- volume in cubic feet; ecutive department; or (b) A statement of the restrictions (e) Records accessioned into the Na- imposed on the use of records; tional Archives of the United States are later found to lack sufficient value (c) A statement of the agencies and for continued retention in the National persons using the records and the pur- Archives. The disposition of such pose of this use; records is governed by § 1235.34 of this (d) A statement of the current and subchapter. proposed physical and organizational locations of the records; (e) A justification for the transfer in- PART 1232—TRANSFER OF cluding an explanation of why it is in RECORDS TO RECORDS STORAGE the best interests of the Government; FACILITIES and (f) Copies of the concurrence in the Sec. transfer by the heads of all agencies in- 1232.1 What are the authorities for part volved in the proposed transfer. 1232? 1232.2 What definitions apply to this part? 1232.3 What standards are used as guidance § 1231.14 May the records of termi- for this part? nated agencies be transferred to an- 1232.10 Where can a Federal agency transfer other agency? records for storage? The records of executive agencies 1232.12 Under what conditions may Federal whose functions are terminated or are records be stored in records storage fa- in process of liquidation may be trans- cilities? ferred to another executive agency 1232.14 What requirements must an agency meet before it transfers records to a that inherits the function. All such records storage facility? transfers must be made in accordance 1232.16 What documentation must an agen- with the provisions of this part. cy create before it transfers records to a records storage facility? § 1231.16 What restrictions are there 1232.18 What procedures must an agency fol- on use of transferred records? low to transfer records to an agency Restrictions imposed under a statute records center or commercial records storage facility? or Executive order must continue to be imposed after the transfer. Restric- AUTHORITY: 44 U.S.C. 2907 and 3103. tions imposed by agency determination SOURCE: 74 FR 51014, Oct. 2, 2009, unless must also continue, unless the restric- otherwise noted.

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§ 1232.1 What are the authorities for for the storage, processing, and serv- part 1232? icing of records for Federal agencies The statutory authorities for this under the authority of 44 U.S.C. 2907. part are 44 U.S.C. 2907 and 3103. These NARA records centers include a National Personnel Records Center § 1232.2 What definitions apply to this that contains designated records of the part? Department of Defense and the Office See § 1220.18 of this subchapter for of Personnel Management and other definitions of terms used throughout designated records pertaining to Subchapter B, including part 1232. former Federal civilian employees. A list of NARA Federal Records Centers § 1232.3 What standards are used as is available from the NARA Web site at guidance for this part? http://www.archives.gov/locations/ These regulations conform with guid- index.html and also in the U.S. Govern- ance provided in ISO 15489–1:2001 Para- ment Manual, which is for sale from graphs 7.1 (Principles of records man- the Superintendent of Documents, U.S. agement programmes), 8.3.3 (Physical Government Printing Office, Mail storage medium and protection), 8.3.6 Stop: SSOP, Washington, DC 20402–9328, (Access, retrieval and use), 8.3.7 (Reten- and is available on the Internet from tion and disposition), 9.6 (Storage and http://www.access.gpo.gov/nara/ handling), and 9.8.3 (Location and index.html. tracking) apply to records creation and (b) Records centers operated by or on maintenance. behalf of one or more Federal agencies § 1232.10 Where can a Federal agency other than NARA. transfer records for storage? (c) Commercial records storage facili- Federal agencies may store records ties operated by private entities. in the following types of records storage facilities, so long as the facilities § 1232.12 Under what conditions may meet the facility standards in 36 CFR Federal records be stored in records storage facilities? part 1234. Records transferred to a records storage facility remain in the The following chart shows what legal custody of the agency. records can be stored in a records stor- (a) NARA Federal Records Centers. age facility and the conditions that NARA owns or operates records centers apply:

Type of record Conditions

(a) Permanent records ...... Any storage facility that meets the provisions of 36 CFR part 1234. (b) Unscheduled records ...... (1) Any storage facility that meets the provisions of 36 CFR part 1234. (2) Also requires prior notification to NARA (see § 1232.14(b)). (c) Temporary records (excluding Civilian Any storage facility that meets the provisions of 36 CFR part 1234. Personnel Records). (d) Vital records ...... Storage facility must meet the provisions of 36 CFR parts 1223 and 1234. (e) Civilian Personnel Records ...... May only be transferred to the National Personnel Records Center (NPRC), St. Louis, MO (see part 1233 of this subchapter).

§ 1232.14 What requirements must an cially those that are scheduled for agency meet before it transfers long-term or permanent retention, as records to a records storage facil- those records typically require more ity? stringent environmental controls (see An agency must meet the following 36 CFR parts 1236 and 1237). requirements before it transfers (b) To transfer unscheduled records, records to a records storage facility: notify the National Archives and (a) Ensure that the requirements of Records Administration, Modern 36 CFR part 1234 are met. Special at- Records Programs (NWM), 8601 Adelphi tention must be paid to ensuring ap- Road, College Park, MD 20740–6001, propriate storage conditions for phone number (301) 837–1738, in writing records on non-paper based media (e.g., prior to the transfer. The notification film, audio tape, magnetic tape), espe-

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must identify the records storage facil- documentation to the National Ar- ity and include a copy of the informa- chives and Records Administration, tion required by § 1232.16(a). Modern Records Programs (NWM), 8601 (c) For all records being transferred, Adelphi Road, College Park, MD 20740– create documentation sufficient to 6001, phone number (301) 837–1738, no identify and locate files. (See § 1232.16.) later than 30 days after records are (d) Ensure that NARA-approved re- transferred to the agency records cen- tention periods are implemented prop- ter or commercial records storage fa- erly and that records documenting cility. final disposition actions (destruction (1) Retain temporary records until or transfer to the National Archives of the expiration of their NARA-approved the United States) are created and retention period and no longer, except maintained. as provided for in § 1226.18 of this subchapter. § 1232.16 What documentation must an (2) Transfer permanent records to the agency create before it transfers records to a records storage facil- National Archives of the United States ity? in accordance with 36 CFR part 1235. (a) Documentation must include for § 1232.18 What procedures must an each individual records series spanning agency follow to transfer records to one or more consecutive years trans- an agency records center or com- ferred to storage: mercial records storage facility? (1) Creating office; Federal agencies must use the fol- (2) Series title; lowing procedures to transfer records (3) Description (in the case of perma- to an agency records center or com- nent or unscheduled records, the de- mercial records storage facility: scription must include a folder title (a) Agreements with agency records list of the box contents or equivalent centers or contracts with commercial detailed records description); records storage facilities must incor- (4) Date span; porate the standards in 36 CFR part (5) Physical form and medium of records (e.g., paper, motion picture 1234 and allow for inspections by the film, sound recordings, photographs, or agency and NARA to ensure compli- digital images); ance. An agency must remove records (6) Volume; promptly from a facility if deficiencies (7) Citation to NARA-approved identified during an inspection are not records schedule or agency records dis- corrected within six months of position manual (unscheduled records issuance of the report. must cite the date the agency notified (b) For temporary records, the agen- NARA or, if available, the date the SF cy must make available to NARA on 115 was submitted to NARA); request the documentation specified in (8) Restrictions on access if applica- § 1232.16. ble; (c) Retain temporary records until (9) Disposition (‘‘permanent,’’ ‘‘tem- the expiration of their NARA-approved porary,’’ or ‘‘unscheduled; SF 115 pend- retention period and no longer, except ing’’); as provided for in § 1226.18 of this sub- (10) Date of disposition action (trans- chapter. fer to the National Archives of the (d) Ensure that NARA-approved re- United States or destruction); tention periods are implemented prop- (11) Physical location, including erly and that records documenting name and address of facility; and final disposition actions (destruction (12) Control number or identifier used or transfer to the National Archives of to track records. the United States) are created and (b) In the case of permanent and un- maintained as required by 36 CFR scheduled records, provide copies of 1232.14. such documentation to NARA and ad- (1) Agencies must establish proce- vise NARA in writing of the new loca- dures that ensure that temporary tion whenever the records are moved to records are destroyed in accordance a new storage facility. For permanent with NARA-approved records schedules records, the agency must transmit this and that NARA-approved changes to

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schedules, including the General (h) Provide access to appropriate Records Schedules, are applied to NARA staff to records wherever they records in agency records centers or are located in order to conduct an in- commercial records storage facilities spection in accordance with 36 CFR in a timely fashion. Procedures must part 1239 or to process a request for include a requirement that the agency records disposition authority. records center or commercial records storage facility notify agency records PART 1233—TRANSFER, USE, AND managers or the creating office before DISPOSITION OF RECORDS IN A the disposal of temporary records un- NARA FEDERAL RECORDS CEN- less disposal of temporary records is TER initiated by the agency. (2) Move temporary records that are Sec. subsequently reappraised as permanent 1233.1 What are the authorities for part to a facility that meets the environ- 1233? mental control requirements for per- 1233.2 What definitions apply to this part? manent records in § 1234.14 of this sub- 1233.3 What standards are used as guidance for this part? chapter within one year of their re-ap- 1233.10 How does an agency transfer records praisal, if not already in such a facil- to a NARA Federal Records Center? ity. (Paper-based permanent records in 1233.12 How does an agency transfer vital an existing records storage facility records to a NARA Federal Records Cen- that does not meet the environmental ter? control requirements in § 1234.14 of this 1233.14 What personnel records must be subchapter on October 1, 2009, must be transferred to the National Personnel Records (NPRC)? moved from that facility no later than 1233.16 How does an agency transfer records February 28, 2010.) to the National Personnel Records Cen- (3) Agencies must establish proce- ter (NPRC)? dures to ensure that the agency records 1233.18 What reference procedures are used centers or commercial records storage in NARA Federal Records Centers? 1233.20 How are disposal clearances man- facilities transfer permanent records to aged for records in NARA Federal the National Archives of the United Records Centers? States as individual series spanning one or more years and in accordance AUTHORITY: 44 U.S.C. 2907 and 3103. with the provisions of part 1235 of this SOURCE: 74 FR 51014, Oct. 2, 2009, unless subchapter. otherwise noted. (e) Agencies must ensure that records § 1233.1 What are the authorities for that are restricted because they are se- part 1233? curity classified or exempt from disclo- The statutory authorities for this sure by statute, including the Privacy part are 44 U.S.C. 2907 and 3103. Act of 1974 (5 U.S.C. 552a, as amended), or regulation are stored and main- § 1233.2 What definitions apply to this tained in accordance with applicable part? laws, Executive orders, or regulations. See § 1220.18 of this subchapter for (f) Agencies must ensure that tem- definitions of terms used throughout porary records, including restricted Subchapter B, including part 1233. records (security classified or exempted from disclosure by statute, includ- § 1233.3 What standards are used as ing the Privacy Act of 1974, or regula- guidance for this part? tion), are destroyed in accordance with These regulations conform with guid- the requirements specified in § 1226.24 ance provided in ISO 15489–1:2001. Para- of this subchapter. graphs 7.1 (Principles of records man- (g) Agencies must ensure that emer- agement programmes), 8.3.3 (Physical gency operating vital records, as de- storage medium and protection), 8.3.6 fined in 36 CFR part 1223, that are (Access, retrieval and use), 8.3.7 (Reten- transferred to an agency records center tion and disposition), 9.6 (Storage and or commercial records storage facility handling), and 9.8.3 (Location and are available in accordance with 36 tracking) apply to records creation and CFR 1223.24. maintenance.

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§ 1233.10 How does an agency transfer Records Services, 8601 Adelphi Road, records to a NARA Federal Records College Park, MD or phone (301) 837– Center? 2950. The actual transfers are governed An agency transfers records to a by the general requirements and proce- NARA Federal Records Center using dures in this part and 36 CFR part 1223. the following procedures: (a) General. NARA will ensure that § 1233.14 What personnel records must its records centers meet the facilities be transferred to the National Per- standards in 36 CFR part 1234, which sonnel Records Center (NPRC)? meets the agency’s obligation in (a) Civilian personnel files: § 1232.14(a) of this subchapter. (1) General Records Schedules 1 and 2 (b) Agencies must use their des- specify that certain Federal civilian ignated NARA Federal Records Cen- personnel, medical, and pay records ter(s) as specified in their agency must be centrally stored at the Na- agreement with NARA (Federal tional Personnel Records Center Records Center Program (FRCP)) for headquartered in St. Louis, MO. the storage of records. (2) [Reserved] (c) Transfers to NARA Federal (b) The following types of medical Records Centers must be preceded by treatment records are transferred to the submission of a Standard Form the NPRC: (SF) 135, Records Transmittal and Re- ceipt, or an electronic equivalent. (1) Inpatient (hospitalization) records Preparation and submission of this created for all categories of patients form will meet the requirements for (active duty personnel, retirees, and records description provided in dependents) receiving inpatient treat- § 1232.14(c) of this subchapter, except ment and extended ambulatory proce- the folder title list required for perma- dures; and nent and unscheduled records. A folder (2) Outpatient medical treatment title list is also required for records records for military retirees, depend- that are scheduled for sampling or se- ents, and other civilians treated at lection after transfer. military health care facilities (ex- (d) A separate SF 135 or electronic cludes active duty military personnel equivalent is required for each indi- at time of military discharge or retire- vidual records series having the same ment). disposition authority and disposition date. § 1233.16 How does an agency transfer (e) For further guidance on transfer records to the National Personnel of records to a NARA Federal Records Records Center (NPRC)? Center, consult the NARA Federal Agencies must use the following pro- Records Centers Program Web site cedures when transferring records to (http://www.archives.gov/frc/tool- the NPRC: kit.html#transfer), or current NARA (a) Civilian personnel files. publications and bulletins by con- (1) Forward the official personnel tacting the National Archives and folder (OPF) and the employee medical Records Administration, Office of Re- folder (EMF) to the NPRC at the same gional Records Services (NR), 8601 time. Adelphi Road, College Park, MD or (2) Transfer EMFs and OPFs in sepa- phone (301) 837–2950, or individual rate folders. NARA Federal Records Centers http:// www.archives.gov/frc/locations.html. (3) Retirement of individual folders is based on the date of separation and § 1233.12 How does an agency transfer should occur within 90 to 120 days after vital records to a NARA Federal the employee separates from Federal Records Center? service. For assistance on selecting an appro- (4) For additional guidance, consult priate site among NARA facilities for the Office of Personnel Management storage of vital records, agencies may (OPM) 1900 E Street, NW., Washington, contact National Archives and Records DC 20415, phone number (202) 606–1800, Administration, Office of Regional Web site http://www.opm.gov/feddata/

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recguide2008.pdf, for the OPM publica- louis/civilian-personnel/federal-agen- tion ‘‘The Guide to Personnel Record- cies.html. keeping’’ for procedures on the transfer (3) Optional Form 11, Reference Re- of OPFs and EMFs. quest—Federal Records Center to re- (b) Military medical records. Military quest medical records transferred to health care facilities should contact other NARA Federal Records Centers their facility records managers for prior to September 1, 1984. The request guidance on transferring medical must include the name and address of records to NPRC. For additional guid- the agency’s designated medical ance, consult the ‘‘Transactions with records manager the National Personnel Records Center (d) For military personnel records (NPRC), St. Louis, MO’’ section of the reference requests, the following forms NARA Federal Records Centers Pro- must be used: gram Web site (http://www.archives.gov/ (1) Federal agencies must use Stand- frc/toolkit.html#transactions). ard Form (SF) 180, Request Pertaining (c) Other guidance assistance. For fur- to Military Records, to obtain informa- ther guidance assistance consult the tion from military service records in NPRC Web site (http://www.archives.gov/ the National Personnel Records Center facilities/mo/stllouis.html). (Military Personnel Records); author- § 1233.18 What reference procedures ized agencies requesting the loan of a are used in NARA Federal Records military personnel record may order Centers? records using eMilrecs (electronic equivalent of the SF 180). Access to (a) Agency records transferred to a eMilrecs and additional information is NARA Federal Records Center remain available on line at: in the legal custody of the agency. NARA acts as the agency’s agent in http:www.archives.gov/st-louis/military- maintaining the records. NARA will personnel/agencies/ompf-fed-agency.html. not disclose the record except to the (2) A military veteran or the next of agency that maintains the record, or kin of a deceased, former member of under rules established by that agency the military may order military per- which are consistent with existing sonnel records through the submission laws. of an SF 180 or an online records re- (b) For general reference requests quest system. Additional information agencies may use an FRCP electronic is available on line at: http:// system or, the Optional Form (OF) 11, www.archives.gov/veterans/evetrecs. Reference Request—Federal Records (3) Members of the public and non- Centers, a form jointly designated by governmental organizations also may that agency and NARA, or their elec- obtain copies of SF 180 by submitting a tronic equivalents. written request to the National Per- (c) For civilian personnel records, sonnel Records Center (Military Per- agencies must use the following forms: sonnel Records), 9700 Page Boulevard, (1) Standard Form 127, Request for St. Louis, MO 63132. OMB Control Num- Official Personnel Folder (Separated ber 3095–0029 has been assigned to the Employee), to request transmission of SF 180. personnel folders of separated employ- (4) Agencies may furnish copies of ees stored at the National Personnel the SF 180 to the public to aid in in- Records Center. Additional instruc- quiries. Copies of SF 180 are available tions on requesting OPFs are available at: http://www.archives.gov/st-louis/mili- online at http://www.archives.gov/st- tary-personnel/standard-form-180.html#sf. louis/civilian-personnel/federal-agen- (5) For guidance on requesting origi- cies.html. nal medical treatment records, mili- (2) Standard Form 184, Request for tary hospitals and clinics should con- Employee Medical Folder (Separated sult the ‘‘Transactions with the Na- Employee), to request medical folders tional Personnel Records Center stored at the National Personnel (NPRC), St. Louis, MO’’ section of the Records Center. Additional instruc- NARA Federal Records Centers Pro- tions on requesting EMFs are available gram Web site (http://www.archives.gov/ online at http://www.archives.gov/st- frc/toolkit.html#transactions).

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(e) For further guidance on request- 1234.2 What does this part cover? ing records from a NARA Federal 1234.3 What publications are incorporated Records Center, consult the NARA by reference? Federal Records Centers Program Web 1234.4 What definitions are used in this site (http://www.archives.gov/frc/tool- part? kit.html#retrieval), or current NARA Subpart B—Facility Standards publications and bulletins by con- tacting the Office of Regional Records 1234.10 What are the facility requirements Services (NR), or individual NARA for all records storage facilities? Federal Records Centers (http:// 1234.12 What are the fire safety require- www.archives.gov/frc/locations.html), or ments that apply to records storage fa- the Washington National Records Cen- cilities? ter (NWMW). 1234.14 What are the requirements for environmental controls for records storage § 1233.20 How are disposal clearances facilities? managed for records in NARA Fed- eral Records Centers? Subpart C—Handling Deviations From NARA’s Facility Standards (a) The National Personnel Records Center will destroy records covered by 1234. 20 What rules apply if there is a con- General Records Schedules 1 and 2 in flict between NARA standards and other accordance with those schedules with- regulatory standards that a facility must out further agency clearance. follow? (b) NARA Federal Records Centers 1234. 22 How does an agency request a waiver from a requirement in this subpart? will destroy other eligible Federal 1234. 24 How does NARA process a waiver re- records only with the written concur- quest? rence of the agency having legal custody of the records. Subpart D—Facility Approval and (c) NARA Federal Records Centers Inspection Requirements will maintain documentation on the final disposition of records, as required 1234.30 How does an agency request author- in 36 CFR 1232.14(d). ity to establish or relocate records stor- (d) When NARA approves an exten- age facilities? 1234.32 What does an agency have to do to sion of retention period beyond the certify a fire-safety detection and sup- time authorized in the records schedule pression system? for records stored in NARA Federal 1234.34 When may NARA conduct an inspec- Records Centers, NARA will notify tion of a records storage facility? those affected records centers to sus- APPENDIX A TO PART 1234—MINIMUM SECU- pend disposal of the records (see RITY STANDARDS FOR LEVEL III FEDERAL § 1226.18 of this subchapter). FACILITIES (e) For further guidance on records APPENDIX B TO PART 1234—ALTERNATIVE CER- disposition, consult the NARA Federal TIFIED FIRE-SAFETY DETECTION AND SUP- Records Centers Program Web site PRESSION SYSTEM(S) (http://www.archives.gov/frc/tool- AUTHORITY: 44 U.S.C. 2104(a), 2904, 2907, kit.html#disposition), or current NARA 3102, and 3103. publications and bulletins by con- SOURCE: 74 FR 51014, Oct. 2, 2009, unless tacting the Office of Regional Records otherwise noted. Services (NR) or individual NARA Fed- eral Records Centers (http:// www.archives.gov/frc/locations.html), in- Subpart A—General dividual NARA regional facilities, or § 1234.1 What authorities apply to part the Washington National Records Cen- 1234? ter (NWMW). NARA is authorized to establish, maintain and operate records centers PART 1234—FACILITY STANDARDS for Federal agencies under 44 U.S.C. FOR RECORDS STORAGE FACILITIES 2907. NARA is authorized, under 44 U.S.C. 3103, to approve a records center Subpart A—General that is maintained and operated by an Sec. agency. NARA is also authorized to 1234.1 What authorities apply to part 1234? promulgate standards, procedures, and

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guidelines to Federal agencies with re- 6001, phone number (301) 837–3415, and is spect to the storage of their records in available for purchase from the sources commercial records storage facilities. listed below. If you experience dif- See 44 U.S.C. 2104(a), 2904, and 3102. The ficulty obtaining the standards ref- regulations in this subpart apply to all erenced below, contact NARA’s Space records storage facilities Federal agen- and Security Management Division cies use to store, service, and dispose of (NAS), National Archives and Records their records. Administration, 8601 Adelphi Road, College Park, MD 20740–6001, phone § 1234.2 What does this part cover? number (301) 837–1867. (a) This part covers the establish- (c) American National Standards Insti- ment, maintenance, and operation of tute (ANSI). The following standards records centers, whether Federally- are available from the American Na- owned and operated by NARA or an- tional Standards Institute, 25 West 43rd other Federal agency, or Federally- St., 4th Floor, New York, NY 10036, owned and contractor operated. This phone number (212) 642–4900, or online part also covers an agency’s use of at http://webstore.ansi.org. commercial records storage facilities. (1) IAPMO/ANSI UMC 1–2003 Records centers and commercial (‘‘IAPMO/ANSI UMC 1’’), Uniform Me- records storage facilities are referred chanical Code, 2003, IBR approved for to collectively as records storage fa- § 1234.12. cilities. This part specifies the min- (2) NFPA 40 (‘‘NFPA 40–1997’’), Stand- imum structural, environmental, prop- ard for the Storage and Handling of erty, and life-safety standards that a Cellulose Nitrate Motion Picture Film, records storage facility must meet 1997 Edition, IBR approved for § 1234.12. when the facility is used for the stor- (3) NFPA 42 (‘‘NFPA 42’’), Code for age of Federal records. the Storage of Pyroxylin Plastic, 1997 (b) Except where specifically noted, Edition, IBR approved for § 1234.12. this part applies to all records storage (4) NFPA 54 (‘‘NFPA 54’’), National facilities. Certain noted provisions Fuel Gas Code, 2002 Edition, IBR ap- apply only to new records storage fa- proved for § 1234.12. cilities established or placed in service on or after September 28, 2005. (5) NFPA 101 (‘‘NFPA 101’’), Life Safety Code, 1997 Edition, IBR ap- § 1234.3 What publications are incor- proved for § 1234.12. porated by reference in this part? (d) Document Center Inc. The fol- (a) Certain material is incorporated lowing standards are available from by reference into this part with the ap- the standards reseller the Document proval of the Director of the Federal Center Inc., 111 Industrial Road, Suite Register under 5 U.S.C. 552(a) and 1 9, Belmont, CA, 94002, phone number CFR part 51. To enforce any edition (650) 591–7600, or online at http:// other than that specified in this sec- www.document-center.com. tion, NARA must publish notice of (1) ANSI/NAPM IT9.18–1996 (‘‘ANSI/ change in the FEDERAL REGISTER and NAPM IT9.18’’), Imaging Materials— the material must be available to the Processed Photographic Plates—Stor- public. All approved material is avail- age Practices, September 8, 1996, IBR able for inspection at the Office of the approved for § 1234.14. Federal Register. For information on (2) ANSI/NAPM IT9.23–1996 (‘‘ANSI/ the availability of this material at the NAPM IT9.23’’), Imaging Materials— Office of the Federal Register, call 202– Polyester Base Magnetic Tape—Stor- 741–6030 or go to http://www.archives.gov/ age, September 6, 1996, IBR approved federallregister/ for § 1234.14. codeloflfederallregulations/ (e) Document Engineering Co., Inc. ibrllocations.html. (DECO). The following standards are (b) The material incorporated by ref- available from the standards reseller erence is also available for inspection DECO—Document Engineering Co., at NARA’s Archives Library Informa- Inc., 15210 Stagg Street, Van Nuys, CA, tion Center (NWCCA), Room 2380, 8601 phone number (818) 782–1010, or online Adelphi Road, College Park, MD 20740– at http://www.doceng.com.

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(1) ANSI/NAPM IT9.20–1996 (‘‘ANSI/ (h) The following standards are not NAPM IT9.20’’), Imaging Materials— available from the original publisher or Reflection Prints—Storage Practices, a standards reseller. As indicated in September 8, 1996, IBR approved for paragraph (b) of this section, the stand- § 1234.14. ards are available for inspection at the (2) NFPA 221 (‘‘NFPA 221’’), Standard NWCCA. In order to inspect the stand- for Fire Walls and Fire Barrier Walls, ards at a NARA location other than the 1994 Edition, November 1, 1994, IBR ap- NARA facility in College Park, MD, proved for § 1234.4. please contact the NWCCA, Room 2380, (3) ASTM E 119–98 (‘‘ASTM E 119–98’’), 8601 Adelphi Road, College Park, MD Standard Test Methods for Fire Tests 20740–6001, phone number (301) 837–3415 of Building Construction and Mate- or e-mail your request to rials, 1998, IBR approved for § 1234.12. [email protected]. (4) NFPA 10 (‘‘NFPA 10’’), Portable (1) ANSI/ASHRAE 55–1992 (‘‘ANSI/ Fire Extinguishers, 1994 Edition, No- ASHRAE 55’’), Thermal Environmental vember 1, 1994, IBR approved for Ap- Conditions for Human Occupancy, 1992, pendix B to part 1234. IBR approved for § 1234.14. (5) NFPA 13 (‘‘NFPA 13’’), Standard (2) ANSI/ASHRAE 62–1989 (‘‘ANSI/ for Installation of Sprinkler Systems, ASHRAE 62’’), Ventilation for Accept- 2002 Edition, October 1, 2002, IBR ap- able Indoor Air Quality, 1989, IBR approved for §§ 1234.10 and 1234.12, and Ap- proved for § 1234.14. pendix B to part 1234. (3) UL 611 (‘‘UL 611’’), Central-Sta- tion Burglar-Alarm Systems, February (6) NFPA 20 (‘‘NFPA 20’’), Standard 22, 1996, IBR approved for § 1234.10 for the Installation of Centrifugal Fire Pumps, 1996 Edition, January 1, 1996, § 1234.4 What definitions are used in IBR approved for Appendix B to part this part? 1234. The following definitions apply to (f) Global Engineering Documents. The this part: following standards are available from Auxiliary spaces mean non-records the standards reseller Global Engineer- storage areas such as offices, research ing Documents, 15 Inverness Way, East rooms, other work and general storage Englewood, CO 80112, phone number areas but excluding boiler rooms or (800) 854–7179, or online at http:// rooms containing equipment operating www.global.ihs.com. with a fuel supply such as generator (1) ANSI/PIMA IT9.25–1998 (‘‘ANSI/ rooms. PIMA IT9.25’’), Imaging Materials—Op- Commercial records storage facility has tical Disc Media—Storage, 1998, IBR the meaning specified in § 1220.18 of this approved for § 1234.14. chapter. (2) Reserved. Existing records storage facility means (g) Techstreet. The following stand- any records center or commercial ards are available from the standards records storage facility used to store reseller Techstreet, 3916 Ranchero records on September 27, 2005, and that Drive, Ann Arbor, MI 48108, phone num- has stored records continuously since ber (800) 699–9277, or online at http:// that date. www.Techstreet.com. Fire barrier wall means a wall, other (1) ANSI/PIMA IT9.11–1998 (‘‘ANSI/ than a fire wall, having a fire resist- PIMA IT9.11’’), Imaging Materials— ance rating, constructed in accordance Processed Safety Photographic Films— with NFPA 221 (incorporated by ref- Storage, January 1, 1998, IBR approved erence, see § 1234.3). for § 1234.14. Licensed fire protection engineer means (2) UL 827 (‘‘UL 827’’), Central-Sta- a licensed or registered professional en- tion Alarm Services, Sixth Edition, gineer with a recognized specialization April 23, 1999, IBR approved for Appen- in fire protection engineering. For dix B to part 1234. those States that do not separately li- (3) UL 1076 (‘‘UL 1076’’), Proprietary cense or register fire protection engi- Burglar Alarm Units and Systems, neers, a licensed or registered profes- Fifth Edition, February 1, 1999, IBR ap- sional engineer with training and expe- proved for § 1234.10 rience in fire protection engineering,

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operating within the scope of that li- records storage facility with combus- censing or registration, who is also a tible building elements to continue to professional member of the Society of operate until October 1, 2009. In its re- Fire Protection Engineers. quest for a waiver, the agency must Must and provide means that a provi- provide documentation that the facil- sion is mandatory. ity has a fire suppression system spe- New records storage facility means any cifically designed to mitigate this haz- records center or commercial records ard and that the system meets the re- storage facility established or con- quirements of § 1234.12(s). Requests verted for use as a records center or must be submitted to the Director, commercial records storage facility on Space and Security Management Divi- or after September 28, 2005. sion (NAS), National Archives and Permanent record has the meaning Records Administration, 8601 Adelphi specified in § 1220.18 of this subchapter. Road, College Park, MD 20740–6001, Records center has the meaning speci- phone number (301) 837–1867. fied in § 1220.18 of this subchapter. (b) A facility with two or more sto- Records storage area means the area ries must be designed or reviewed by a intended for long-term storage of licensed fire protection engineer and records that is enclosed by four fire civil/structural engineer to avoid cata- barrier walls, the floor, and the ceiling. strophic failure of the structure due to Records storage facility has the mean- an uncontrolled fire on one of the in- ing specified in § 1220.18 of this sub- termediate floor levels. For new build- chapter. ings the seals on the construction Sample/Select records means records drawings serve as proof of this review. whose final disposition requires an ana- For existing buildings, this require- lytical or statistical sampling prior to ment may be demonstrated by a profes- final disposition authorization, in sional letter of opinion under seal by a which some percentage of the original licensed fire protection engineer that accession will be retained as perma- the fire resistance of the separating nent records. floor(s) is/(are) at least four hours, and Should or may means that a provision a professional letter of opinion under is recommended or advised but not re- seal by a licensed civil/structural engi- quired. neer that there are no obvious struc- Temporary record has the meaning tural weaknesses that would indicate a specified in § 1220.18 of this subchapter. Unscheduled records has the meaning high potential for structural cata- specified in § 1220.18 of this subchapter. strophic collapse under fire conditions. (c) The building must be sited a minimum of five feet above and 100 feet Subpart B—Facility Standards from any 100 year flood plain areas, or § 1234.10 What are the facility require- be protected by an appropriate flood ments for all records storage facili- wall that conforms to local or regional ties? building codes. (a) The facility must be constructed (d) The facility must be designed in with non-combustible materials and accordance with the applicable na- building elements, including walls, col- tional, regional, state, or local building umns and floors. There are two excep- codes (whichever is most stringent) to tions to this requirement: provide protection from building col- (1) Roof elements may be constructed lapse or failure of essential equipment with combustible materials if installed from earthquake hazards, tornadoes, in accordance with local building codes hurricanes and other potential natural and if roof elements are protected by a disasters. properly installed, properly maintained (e) Roads, fire lanes and parking wet-pipe automatic sprinkler system, areas must permit unrestricted access as specified in NFPA 13 (incorporated for emergency vehicles. by reference, see § 1234.3). (f) A floor load limit must be estab- (2) An agency may request a waiver lished for the records storage area by a of the requirement specified in para- licensed structural engineer. The limit graph (a) from NARA for an existing must take into consideration the

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height and type of the shelving or stor- the requirements of the applicable age equipment, the width of the aisles, state, regional, and local building code the configuration of the space, etc. The (whichever is most stringent); allowable load limit must be posted in (2) Racking systems, steel shelving, a conspicuous place and must not be or other open-shelf records storage exceeded. equipment must be braced to prevent (g) The facility must ensure that the collapse under full load. Each racking roof membrane does not permit water system or shelving unit must be indus- to penetrate the roof. NARA strongly trial style shelving rated at least 50 recommends that this requirement be pounds per cubic foot supported by the met by not mounting equipment on the shelf; roof and placing nothing else on the (3) Compact mobile shelving systems roof that may cause damage to the roof (if used) must be designed to permit membrane. Alternatively, a facility proper air circulation and fire protec- may meet this requirement with strin- tion (detailed specifications that meet gent design specifications for roof- this requirement can be provided by mounted equipment in conjunction NARA by writing to Director, Space with a periodic roof inspection program and Security Management Division performed by appropriately certified (NAS), National Archives and Records professionals. Administration, 8601 Adelphi Road, (1) New records storage facilities College Park, MD 20740–6001.), phone must meet the requirements in this number (301) 837–1867). paragraph (g) beginning on September (j) The area occupied by the records 28, 2005. storage facility must be equipped with (2) Existing facilities must meet the an anti-intrusion alarm system, or requirements in this paragraph (g) no equivalent, meeting the requirements later than October 1, 2009. of UL 1076 (incorporated by reference, (h) Piping (with the exception of fire see § 1234.3), level AA, to protect protection sprinkler piping and storm against unlawful entry after hours and water roof drainage piping) must not to monitor designated interior storage be run through records storage areas spaces. This intrusion alarm system unless supplemental measures such as must be monitored in accordance with gutters or shields are used to prevent UL 611, (incorporated by reference, see water leaks and the piping assembly is § 1234.3). inspected for potential leaks regularly. (k) The facility must comply with If drainage piping from roof drains the requirements for a Level III facil- must be run though records storage ity as defined in the Department of areas, the piping must be run to the Justice, U. S. Marshals Service report nearest vertical riser and must include Vulnerability Assessment of Federal a continuous gutter sized and installed Facilities dated June 28, 1995. These re- beneath the lateral runs to prevent quirements are provided in Appendix A leakage into the storage area. Vertical to this part 1234. Agencies may require pipe risers required to be installed in compliance with Level IV or Level V records storage areas must be fully en- facility security requirements if the fa- closed by shaft construction with ap- cility is classified at the higher level. propriate maintenance access panels. (l) Records contaminated by haz- (1) New records storage facilities ardous materials, such as radioactive must meet the requirements in this isotopes or toxins, infiltrated by in- paragraph (h) beginning on September sects, or exhibiting active mold growth 28, 2005. must be stored in separate areas hav- (2) Existing facilities must meet the ing separate air handling systems from requirements in this paragraph (h) no other records. later than October 1, 2009. (m) To eliminate damage to records (i) The following standards apply to and/or loss of information due to in- records storage shelving and racking sects, rodents, mold and other pests systems: that are attracted to organic materials (1) All storage shelving and racking under specific environmental condi- systems must be designed and installed tions, the facility must have an Inte- to provide seismic bracing that meets grated Pest Management program as

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defined in the Food Protection Act of (4) A facility storing permanent 1996 (Section 303, Pub. L. 104–170, 110 records must be kept under positive air Stat. 1512). This states in part that In- pressure, especially in the area of the tegrated Pest Management is a sus- loading dock. In addition, to prevent tainable approach to managing pests fumes from vehicle exhausts from en- by combining biological, cultural, tering the facility, air intake louvers physical, and chemical tools in a way must not be located in the area of the that minimizes economic, health, and loading dock, adjacent to parking environmental risks. The IPM program areas, or in any location where a vehi- emphasizes three fundamental ele- cle engine may be running for any pe- ments: riod of time. Loading docks must have (1) Prevention. IPM is a preventive an air supply and exhaust system that maintenance process that seeks to is separate from the remainder of the identify and eliminate potential pest facility. access, shelter, and nourishment. It also continually monitors for pests § 1234.12 What are the fire safety re- themselves, so that small infestations quirements that apply to records do not become large ones; storage facilities? (2) Least-toxic methods. IPM aims to (a) The fire detection and protection minimize both pesticide use and risk systems must be designed or reviewed through alternate control techniques by a licensed fire protection engineer. and by favoring compounds, formula- If the system was not designed by a li- tions, and application methods that censed fire protection engineer, the represent the lowest potential hazard to view requirement is met by furnishing humans and the environment; and a report under the seal of a licensed (3) Systems approach. The IPM pest fire protection engineer that describes control contract must be effectively the design intent of the fire detection coordinated with all other relevant and suppression system, detailing the programs that operate in and around a characteristics of the system, and de- building, including plans and proce- scribing the specific measures beyond dures involving design and construc- the minimum features required by code tion, repairs and alterations, cleaning, that have been incorporated to mini- waste management, food service, and mize loss. The report should make spe- other activities. cific reference to appropriate industry (n) For new records storage facilities standards used in the design, such as only, the additional requirements in those issued by the National Fire Pro- this paragraph (n) must be met: tection Association, and any testing or (1) Do not install mechanical equip- modeling or other sources used in the ment, excluding material handling and design. conveyance equipment that have oper- (b) All interior walls separating ating thermal breakers on the motor, records storage areas from each other containing motors rated in excess of 1 and from other storage areas in the HP within records storage areas (either building must be at least three-hour floor mounted or suspended from roof fire barrier walls. A records storage fa- support structures). cility may not store more than 250,000 (2) Do not install high-voltage elec- cubic feet total of Federal records in a trical distribution equipment (i.e., single records storage area. When Fed- 13.2kv or higher switchgear and trans- eral records are combined with other formers) within records storage areas records in a single records storage (either floor mounted or suspended area, only the Federal records will from roof support structures). apply toward this limitation. (3) A redundant source of primary (c) Fire barrier walls that meet the electric service such as a second pri- following specifications must be pro- mary service feeder should be provided vided: to ensure continuous, dependable serv- (1) For existing records storage fa- ice to the facility especially to the cilities, at least one-hour-rated fire HVAC systems, fire alarm and fire pro- barrier walls must be provided between tection systems. Manual switching be- the records storage areas and other tween sources of service is acceptable. auxiliary spaces.

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(2) For new records storage facilities, minute fire resistive coating to the top two-hour-rated fire barrier walls must chords of the joists, or by retrofitting be provided between the records stor- the sprinkler system with large drop age areas and other auxiliary spaces. sprinkler heads. If a fire resistive coat- One exterior wall of each stack area ing is applied, it must be a product must be designed with a maximum fire that will not release (off gas) harmful resistive rating of one hour, or, if rated fumes into the facility. If fire resistive more than one hour, there must be at coating is subject to air erosion or least one knock-out panel in one exte- flaking, it must be fully enclosed in a rior wall of each stack area. drywall containment constructed of (d) Penetrations in the walls must metal studs with fire retardant not reduce the specified fire resistance drywall. Retrofitting may require ratings. The fire resistance ratings of modifications to the piping system to structural elements and construction ensure that adequate water capacity assemblies must be in accordance with and pressure are provided in the areas ASTM E 119–98 (incorporated by ref- to be protected with these large drop erence, see § 1234.3). sprinkler heads. (e) The fire resistive rating of the (l) Open flame (oil or gas) unit heat- roof must be a minimum of 1⁄2 hour for ers or equipment, if used in records all records storage facilities, or must storage areas, must be installed or used be protected by an automatic sprinkler in the records storage area in accord- system designed, installed, and main- ance with NFPA 54 (incorporated by tained in accordance with NFPA 13 (in- reference, see § 1234.3), and the IAPMO/ corporated by reference, see § 1234.3). ANSI UMC 1, Uniform Mechanical Code (f) Openings in fire barrier walls sep- (incorporated by reference, see § 1234.3). arating records storage areas must be (m) For existing records storage fa- avoided to the greatest extent possible. cilities, boiler rooms or rooms con- If openings are necessary, they must be taining equipment operating with a protected by self-closing or automatic fuel supply (such as generator rooms) Class A fire doors, or equivalent doors must be separated from records storage that maintain the same rating as the areas by 2-hour-rated fire barrier walls wall. with no openings directly from these (g) Roof support structures that cross rooms to the records storage areas. or penetrate fire barrier walls must be Such areas must be vented directly to cut and supported independently on the outside to a location where fumes each side of the fire barrier wall. will not be drawn back into the facil- (h) If fire barrier walls are erected with expansion joints, the joints must ity. be protected to their full height. (n) For new records storage facilities, (i) Building columns in the records boiler rooms or rooms containing storage areas must be at least 1-hour equipment operating with a fuel supply fire resistant or protected in accord- (such as generator rooms) must be sep- ance with NFPA 13 (incorporated by arated from records storage areas by 4- reference, see § 1234.3). hour-rated fire barrier walls with no (j) Automatic roof vents for routine openings directly from these rooms to ventilation purposes must not be de- the records storage areas. Such areas signed into new records storage facili- must be vented directly to the outside ties. Automatic roof vents, designed to a location where fumes will not be solely to vent in the case of a fire, with drawn back into the facility. a temperature rating at least twice (o) For new records storage facilities, that of the sprinkler heads are accept- fuel supply lines must not be installed able. in areas containing records and must (k) Where lightweight steel roof or be separated from such areas with 4- floor supporting members (e.g., bar hour rated construction assemblies. joists having top chords with angles 2 (p) Equipment rows running perpen- by 12 inches or smaller, 1/4-inch thick dicular to the wall must comply with or smaller, and 13/16-inch or smaller NFPA 101 (incorporated by reference, Web diameters) are present, they must see § 1234.3), with respect to egress re- be protected either by applying a 10- quirements.

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(q) No oil-type electrical trans- records must meet the requirements in formers, regardless of size, except ther- this paragraph (b) beginning on Sep- mally protected devices included in flu- tember 28, 2005. Existing records stor- orescent light ballasts, may be in- age facilities that store nontextual stalled in the records storage areas. All temporary records must meet the re- electrical wiring must be in metal con- quirements in this paragraph (b) no duit, except that armored cable may be later than October 1, 2009. At a min- used where flexible wiring connections imum, nontextual temporary records to light fixtures are required. Battery must be stored in records storage space charging areas for electric forklifts that meets the requirements for me- must be separated from records storage dium term storage set by the appro- areas with at least a 2-hour rated fire priate standard in this paragraph (b). barrier wall. In general, medium term conditions as (r) Hazardous materials, including defined by these standards are those records on cellulose nitrate film, must that will ensure the preservation of the not be stored in records storage areas. materials for at least 10 years with lit- Nitrate motion picture film and nitrate tle information degradation or loss. sheet film may be stored in separate Records may continue to be usable for areas that meet the requirements of longer than 10 years when stored under the appropriate NFPA standards, these conditions, but with an increas- NFPA 40–1997 (incorporated by ref- ing risk of information loss or degrada- erence, see § 1234.3), or NFPA 42 (incor- tion with longer times. If temporary porated by reference, see § 1234.3). records require retention longer than (s) All record storage and adjoining 10 years, better storage conditions areas must be protected by a profes- (cooler and drier) than those specified sionally-designed fire-safety detection for medium term storage will be need- and suppression system that is de- ed to maintain the usability of these signed to limit the maximum antici- records. The applicable standards are: pated loss in any single fire event in- (1) ANSI/PIMA IT9.11 (incorporated volving a single ignition and no more by reference, see § 1234.3); than 8 ounces of accelerant to a max- (2) ANSI/NAPM IT9.23 (incorporated imum of 300 cubic feet of records de- by reference, see § 1234.3); stroyed by fire. Section 1234.32 specifies (3) ANSI/PIMA IT9.25 (incorporated how to document compliance with this by reference, see § 1234.3); requirement. (4) ANSI/NAPM IT9.20 (incorporated by reference, see § 1234.3); and/or § 1234.14 What are the requirements (5) ANSI/NAPM IT9.18 (incorporated for environmental controls for by reference, see § 1234.3). records storage facilities? (c) Paper-based permanent, unsched- (a) Paper-based temporary records. uled and sample/select records. Paper- Paper-based temporary records must be based permanent, unscheduled, and stored under environmental conditions sample/select records must be stored in that prevent the active growth of mold. records storage space that provides 24 Exposure to moisture through leaks or hour/365 days per year air conditioning condensation, relative humidities in (temperature, humidity, and air ex- excess of 70%, extremes of heat com- change) equivalent to that required for bined with relative humidity in excess office space. See ANSI/ASHRAE Stand- of 55%, and poor air circulation during ard 55 (incorporated by reference, see periods of elevated heat and relative § 1234.3), and ASHRAE Standard 62 (in- humidity are all factors that con- corporated by reference, see § 1234.3), tribute to mold growth. for specific requirements. New records (b) Nontextual temporary records. Non- storage facilities that store paper- textual temporary records, including based permanent, unscheduled, and/or microforms and audiovisual and elec- sample/select records must meet the tronic records, must be stored in requirement in this paragraph (c) be- records storage space that is designed ginning on September 28, 2005. Existing to preserve them for their full reten- storage facilities that store paper- tion period. New records storage facili- based permanent, unscheduled, and/or ties that store nontextual temporary sample/select records must meet the

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requirement in this paragraph (c) no meet a new standard required to be in later than October 1, 2009. place on September 28, 2005; and (d) Nontextual permanent, unscheduled, (3) The application of roof require- and/or sample/select records. All records ments in §§ 1234.10 and 1234.12 to under- storage facilities that store microfilm, ground storage facilities. audiovisual, and/or electronic perma- (b) Where to submit a waiver request. nent, unscheduled, and/or sample/select The agency submits a waiver request, records must comply with the storage containing the information specified in standards for permanent and unsched- paragraphs (c), (d), and/or (e) of this uled records in parts 1238, 1237, and/or section to the Director, Space and Se- 1236 of this subchapter, respectively. curity Management Division (NAS), National Archives and Records Admin- Subpart C—Handling Deviations istration, 8601 Adelphi Rd., College Park, MD 20740–6001, phone number From NARA’s Facility Standards (301) 837–1867. § 1234.20 What rules apply if there is a (c) Content of request for waivers for conflict between NARA standards equivalent or superior alternatives. The and other regulatory standards that agency’s waiver request must contain: a facility must follow? (1) A statement of the specific provision(s) of this part for which a waiver (a) If any provisions of this part con- is requested, a description of the pro- flict with local or regional building posed alternative, and an explanation codes, the following rules of precedence how it is equivalent to or superior to apply: the NARA requirement; and (1) Between differing levels of fire (2) Supporting documentation that protection and life safety, the more the alternative does not provide less stringent provision applies; and protection for Federal records than (2) Between mandatory provisions that which would be provided by com- that cannot be reconciled with a re- pliance with the corresponding provi- quirement of this part, the local or re- sions contained in this subpart. Docu- gional code applies. mentation may take the form of cer- (b) If any of the provisions of this tifications from a licensed fire protec- part conflict with mandatory life safe- tion engineer or a structural or civil ty or ventilation requirements imposed engineer, as appropriate; reports of on underground storage facilities by 30 independent testing; reports of com- CFR chapter I, 30 CFR chapter I ap- puter modeling; and/or other sup- plies. porting information. (c) NARA reserves the right to re- (d) Content of request for waiver for quire documentation of the mandatory previously compliant agency records cen- nature of the conflicting code and the ter. The agency’s waiver request must inability to reconcile that provision identify which requirement(s) the with NARA requirements. agency records center cannot meet and provide a plan with milestones for § 1234.22 How does an agency request bringing the center into compliance. a waiver from a requirement in this (e) Content of request for waiver of roof part? requirements for underground facility. (a) Types of waivers that may be ap- The agency’s waiver request must iden- proved. NARA may approve exceptions tify the location of the facility and to one or more of the standards in this whether the facility is a drift entrance part for: facility or a vertical access facility. (1) Systems, methods, or devices that are demonstrated to have equivalent or § 1234.24 How does NARA process a superior quality, strength, fire resist- waiver request? ance, effectiveness, durability, and (a) Waiver for equivalent or superior al- safety to those prescribed by this sub- ternative. NARA will review the waiver part; request and supporting documentation. (2) Existing agency records centers (1) If in NARA’s judgment the sup- that met the NARA standards in effect porting documentation clearly sup- prior to January 3, 2000, but do not ports the claim that the alternative is

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equivalent or superior to the NARA re- priate space as outlined in this part. quirement, NARA will grant the waiver Under § 1232.18(a), agencies are respon- and notify the requesting agency with- sible for initiating action to remove in 30 calendar days. records from space that does not meet (2) If NARA questions whether sup- these standards if deficiencies are not porting documentation demonstrates corrected within 6 months after initial that the proposed alternative offers at discovery of the deficiencies by NARA least equal protection to Federal or the agency and to complete removal records, NARA will consult the appro- of the records within 18 months after priate industry standards body or other initial discovery of the deficiencies. qualified expert before making a deter- (1) Agency records centers. Agencies mination. NARA will notify the re- must obtain prior written approval questing agency within 30 calendar from NARA before establishing or relo- days of receipt of the request that con- cating an agency records center. Each sultation is necessary and will provide separate agency records center must be a final determination within 60 cal- specifically approved by NARA prior to endar days. If NARA does not grant the the transfer of any records to that indi- waiver, NARA will furnish a full expla- vidual facility. If an agency records nation of the reasons for its decision. center has been approved for the stor- (b) Waiver of new requirement for exist- age of Federal records of one agency, ing agency records center. NARA will re- any other agency that proposes to view the agency’s waiver request and store its records in that facility must plan to bring the facility into compli- still obtain NARA approval to do so. ance. (2) Commercial records storage facilities. (1) NARA will approve the request An agency may contract for commer- and plan within 30 calendar days if cial records storage services. However, NARA judges the planned actions and before any agency records are trans- time frames for bringing the facility ferred to a commercial records storage into compliance are reasonable. facility, the transferring agency must (2) If NARA questions the feasibility ensure that the facility meets all of the or reasonableness of the plan, NARA requirements for an agency records will work with the agency to develop a storage facility set forth in this sub- revised plan that NARA can approve part and must submit the documenta- and the agency can implement. NARA tion required in paragraph (e) of this may grant a short-term temporary section. waiver, not to exceed 180 calendar days, (b) Exclusions. For purposes of this while the revised plan is under develop- section, the term ‘‘agency records cen- ment. ter’’ excludes NARA-owned and oper- (c) Waiver of roof requirements for un- ated records centers. For purposes of derground storage facilities. NARA will this section and § 1234.34, the term normally grant the waiver and notify ‘‘agency records center’’ also excludes the requesting agency within 10 work agency records staging and/or holding days if the agency has not also re- areas with a capacity for containing quested a waiver of a different require- less than 25,000 cubic feet of records. ment under § 1234.30. If the agency has However, such records centers and another waiver request pending for the areas, including records centers oper- same facility, NARA will respond to all ated and maintained by NARA, must of the waiver requests at the same time comply with the facility standards in and within the longest time limits. §§ 1234.10 through 1234.14. (c) Content of requests for agency Subpart D—Facility Approval and records centers. Requests for authority Inspection Requirements to establish or relocate an agency records center, or to use an agency § 1234.30 How does an agency request records center operated by another authority to establish or relocate agency, must be submitted in writing records storage facilities? to the Director, Space and Security (a) General policy. Agencies are re- Management Division (NAS), National sponsible for ensuring that records in Archives and Records Administration, their legal custody are stored in appro- 8601 Adelphi Road, College Park, MD

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20740–6001, phone number (301) 837–1867. store records in that commercial The request must identify the specific records storage facility. facility and, for requests to establish or relocate the agency’s own records § 1234.32 What does an agency have to center, document compliance with the do to certify a fire-safety detection standards in this subpart. Documenta- and suppression system? tion requirements for § 1234.12(s) are (a) Content of documentation. The specified in § 1234.32. agency must submit documentation to (d) Approval of requests for agency the Director, Space and Security Man- records centers. NARA will review the agement Division (NAS), National Ar- submitted documentation to ensure the chives and Records Administration, facility demonstrates full compliance 8601 Adelphi Road, College Park, MD with the standards in this subpart. 20740–6001, phone number (301) 837–1867, NARA reserves the right to visit the that describes the space being pro- facility, if necessary, to make the de- tected (e.g., the type and stacking termination of compliance. NARA will height of the storage equipment used, inform the agency of its decision with- or how the space is designed, con- in 45 calendar days after the request is trolled, and operated) and the charac- received, and will provide the agency teristics of the fire-safety detection information on the areas of noncompli- and suppression system used. The docu- ance if the request is denied. Requests mentation must demonstrate how that will be denied only if NARA determines system meets the requirement in that the facility does not demonstrate § 1234.12(s) through: full compliance with the standards in (1) A statement that the facility is this subpart. Approvals will be valid using a NARA certified system as de- for a period of 10 years, unless the fa- scribed in Appendix B to this part; cility is materially changed before (2) A report of the results of inde- then or an agency or NARA inspection pendent live fire testing (Factory Mu- finds that the facility does not meet tual, Underwriters Laboratories or the standards in this subpart. Material Southwest Research Institute); or changes require submission of a new request for NARA approval. (3) A report under seal of a licensed (e) Documentation requirements for fire protection engineer that: storing Federal records in commercial (i) Describes the design intent of the records storage facilities. At least 45 cal- fire suppression system to limit the endar days before an agency first maximum anticipated loss in any sin- transfers records to a commercial gle fire event involving a single igni- records storage facility, the agency tion and no more than 8 fluid ounces of must submit documentation to NARA petroleum-type hydrocarbon that the facility complies with the accelerant (such as, for example, standards in this subpart. The docu- heptanes or gasoline) to a maximum of mentation may take the form of a copy 300 cubic feet of Federal records de- of the agency’s contract that incor- stroyed by fire. The report need not porates this subpart in its provisions or predict a maximum single event loss at a statement from the agency records any specific number, but rather should officer that certifies that the facility describe the design intent of the fire meets the standards in this subpart. An suppression system. The report may agency must provide the documenta- make reasonable engineering and other tion for each separate commercial assumptions such as that the fire de- records storage facility where its partment responds within XX minutes records will be stored. Documentation (the local fire department’s average re- must be sent to the Director, Space sponse time) and promptly commences and Security Management Division suppression actions. In addition, any (NAS), National Archives and Records report prepared under this paragraph Administration, 8601 Adelphi Road, should assume that the accelerant is College Park, MD 20740–6001, phone saturated in a cotton wick that is 3 number (301) 837–1867. The agency must inches in diameter and 6 inches long submit updated documentation to and sealed in a plastic bag and that the NARA every 10 years if it continues to fire is started in an aisle at the face of

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a carton at floor level. Assumptions NARA will furnish a full explanation of must be noted in the report; the reasons for its decision. (ii) Details the characteristics of the (4) NARA will maintain a list of ap- system; and proved alternative systems. (iii) Describes the specific measures beyond the minimum features required § 1234.34 When may NARA conduct an inspection of a records storage fa- by the applicable building code that cility? have been incorporated to limit destruction of records. The report should (a) At the time an agency submits a make specific references to industry request to establish an agency records standards used in the design, such as center, pursuant to § 1234.30, NARA those issued by the National Fire Pro- may conduct an inspection of the protection Association, and any testing or posed facility to ensure that the facil- modeling or other sources used in the ity complies fully with the standards design. in this subpart. NARA may also conduct periodic inspections of agency (b) NARA action. (1) NARA will ap- records centers so long as such facility prove the fire-safety detection and sup- is used as an agency records center. pression system within 10 work days if NARA will inspect its own records cen- NARA has previously approved the sys- ter facilities on a periodic basis to en- tem design for similarly configured sure that they are in compliance with space or if a report of independent test- the requirements of this subpart. ing of a new system design is furnished (b) Agencies must ensure, by con- as documentation. tract or otherwise, that agency and (2) If, in NARA’s judgment, the sup- NARA officials, or their delegates, porting documentation provided in ac- have the right to inspect commercial cordance with paragraph (a)(3) of this records storage facilities to ensure that section clearly demonstrates compli- such facilities fully comply with the ance with § 1234.12(s), NARA will ap- standards in this subpart. NARA may prove the fire-safety detection and sup- conduct periodic inspections of compression system within 30 calendar mercial records storage facilities so days. long as agencies use such facilities to (3) If NARA questions whether sup- store agency records. The using agen- porting documentation demonstrates cy, not NARA, will be responsible for compliance with § 1234.12(s), NARA will paying any fee or charge assessed by consult the appropriate industry stand- the commercial records storage facility ards body or other qualified expert be- for NARA’s conducting an inspection. fore making a determination. Before (c) NARA will contact the agency op- any consultation, NARA may ask the erating the records center or the agen- agency for additional clarifying infor- cy holding a contract with a commer- mation. NARA will notify the request- cial records storage facility in advance ing agency within 30 calendar days of to set a date for the inspection. receipt of the request that consultation is necessary and will provide a final de- APPENDIX A TO PART 1234—MINIMUM SE- termination within 60 calendar days. If CURITY STANDARDS FOR LEVEL III NARA does not approve the system, FEDERAL FACILITIES

RECOMMENDED STANDARDS CHART [Reproduced from Section 2.3 (pp. 2–6 through 2–9) of U.S. Department of Justice, United States Marshals Service report Vulnerability Assessment of Federal Facilities]

Level III

Perimeter Security

Parking: Control of facility parking ...... Required. Control of adjacent parking ...... Desirable. Avoid leases where parking cannot be controlled ...... Desirable. Leases should provide security control for adjacent parking ...... Desirable. Post signs and arrange for towing unauthorized vehicles ...... Required. ID system and procedures for authorized parking (placard, decal, card key, etc.) ...... Required. Adequate lighting for parking areas ...... Required.

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RECOMMENDED STANDARDS CHART—Continued [Reproduced from Section 2.3 (pp. 2–6 through 2–9) of U.S. Department of Justice, United States Marshals Service report Vulnerability Assessment of Federal Facilities]

Level III

Closed Circuit Television (CCTV) Monitoring: CCTV surveillance cameras with time lapse video recording ...... Recommended. Post signs advising of 24 hour video surveillance ...... Recommended. Lighting: Lighting with emergency power backup ...... Required. Physical Barriers: Extend physical perimeter with barriers (concrete and/or steel composition) ...... Desirable. Parking barriers ...... Desirable.

Entry Security

Receiving/Shipping: Review receiving/shipping procedures (current) ...... Required. Implement receiving/shipping procedures (modified) ...... Required. Access Control: Evaluate facility for security guard requirements ...... Required. Security guard patrol ...... Recommended. Intrusion detection system with central monitoring capability ...... Required. Upgrade to current life safety standards (fire detection, fire suppression systems, etc.) ...... Required. Entrances/Exits: X-ray & magnetometer at public entrances ...... Recommended. Require x-ray screening of all mail/packages ...... Recommended. High security locks ...... Required.

Interior Security

Employee/Visitor Identification: Agency photo ID for all personnel displayed at all times ...... Recommended. Visitor control/screening system ...... Required. Visitor identification accountability system ...... Recommended. Establish ID issuing authority ...... Recommended. Utilities: Prevent unauthorized access to utility areas ...... Required. Provide emergency power to critical systems (alarm systems, radio communications, computer Required. facilities, etc.). Occupant Emergency Plans: Examine occupant emergency plans (OEP) and contingency procedures based on threats ...... Required. OEPs in place, updated annually, periodic testing exercise ...... Required. Assign & train OEP officials (assignment based on largest tenant in facility) ...... Required. Annual tenant training ...... Required. Daycare Centers: Evaluate whether to locate daycare facilities in buildings with high threat activities ...... Required. Compare feasibility of locating daycare in outside locations ...... Required.

Security Planning

Intelligence Sharing: Establish law enforcement agency/security liaisons ...... Required. Review/establish procedure for intelligence receipt/dissemination ...... Required. Establish uniform security/threat nomenclature ...... Required. Training: Conduct annual security awareness training ...... Required. Establish standardized unarmed guard qualifications/training requirements ...... Required. Establish standardized armed guard qualifications/training requirements ...... Required. Tenant Assignment: Co-locate agencies with similar security needs ...... Desirable. Do not co-locate high/low risk agencies ...... Desirable. Administrative Procedures: Establish flexible work schedule in high threat/high risk areas to minimize employee vulner- Desirable. ability to criminal activity. Arrange for employee parking in/near building after normal work hours ...... Recommended. Conduct background security checks and/or establish security control procedures for service Required. contract personnel. Construction/Renovation: Install mylar film on all exterior windows (shatter protection) ...... Recommended. Review current projects for blast standards ...... Required. Review/establish uniform standards for construction ...... Required. Review/establish new design standard for blast resistance ...... Required. Establish street set-back for new construction ...... Recommended.

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TERMS AND DEFINITIONS IN RECOMMENDED STANDARDS CHART [Reproduced from Appendix B, Details of Recommended Security Standards, U.S. Department of Justice, United States Marshals Service report Vulnerability Assessment of Federal Facilities]

Term Definition/description

B.1 Perimeter Security Parking

Control of Facility Parking ...... Access to government parking should be limited where possible to government vehicles and personnel. At a minimum, authorized parking spaces and vehicles should be assigned and identified. Control of Adjacent Parking ...... Where feasible, parking areas adjacent to federal space should also be controlled to reduce the potential for threats against Federal facilities and employee exposure to criminal activity. Avoid Leases Where Parking Cannot Be Avoid leasing facilities where parking cannot be controlled. If necessary, relocate Controlled. offices to facilities that do provide added security through regulated parking. Lease Should Provide Control for Adjacent Endeavor to negotiate guard services as part of lease. Parking. Post Signs and Arrange for Towing Unau- Procedures should be established and implemented to alert the public to towing thorized Vehicles. policies, and the removal of unauthorized vehicles. ID System and Procedures for Authorized Procedures should be established for identifying vehicles and corresponding park- Parking. ing spaces (placard, decal, card key, etc.) Adequate Lighting for Parking Areas ...... Effective lighting provides added safety for employees and deters illegal or threat- ening activities.

Closed circuit television (CCTV) monitoring

CCTV Surveillance Cameras With Time Twenty-four hour CCTV surveillance and recording is desirable at all locations as a Lapse Video Recording. deterrent. Requirements will depend on assessment of the security level for each facility. Time-lapse video recordings are also highly valuable as a source of evidence and investigative leads. Post Signs Advising of 24 Hour Video Sur- Warning signs advising of twenty-four hour surveillance act as a deterrent in pro- veillance. tecting employees and facilities.

Lighting

Lighting with Emergency Power Backup .... Standard safety code requirement in virtually all areas. Provides for safe evacu- ation of buildings in case of natural disaster, power outage, or criminal/terrorist activity.

Physical Barriers

Extend Physical Perimeter, With Barriers ... This security measure will only be possible in locations where the Government controls the property and where physical constraints are not present. (barriers of concrete and/or steel composition) Parking Barriers ...... Desirable to prevent unauthorized vehicle access.

B.2 Entry Security Receiving/Shipping

Review Receiving/Shipping Procedures Audit current standards for package entry and suggest ways to enhance security. (Current). Implement Receiving/Shipping Procedures After auditing procedures for receiving/shipping, implement improved procedures (Modified). for security enhancements.

Access Control

Evaluate Facility for Security Guard Re- If security guards are required, the number of guards at any given time will depend quirements. on the size of the facility, the hours of operation, and current risk factors, etc. Security Guard Patrol ...... Desirable for level I and II facilities and may be included as lease option. Level III, IV and V facilities will have security guard patrol based on facility evaluation. Intrusion Detection System With Central Desirable in Level I facilities, based on evaluation for Level II facilities, and re- Monitoring Capability. quired for Levels III, IV and V. Upgrade to Current Life Safety Standards Required for all facilities as part of GSA design requirements, (e.g. fire detection, fire suppression systems, etc.)

Entrances/Exits

X-Ray and Magnetometer at Public En- May be impractical for Level I and II facilities. Level III and IV evaluations would trances. focus on tenant agencies, public interface, and feasibility. Required for Level V.

Require X-Ray Screening of all Mail/Pack- All packages entering building should be subject to x-ray screening and/or visual ages. inspection.

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TERMS AND DEFINITIONS IN RECOMMENDED STANDARDS CHART—Continued [Reproduced from Appendix B, Details of Recommended Security Standards, U.S. Department of Justice, United States Marshals Service report Vulnerability Assessment of Federal Facilities]

Term Definition/description

High Security Locks ...... Any exterior entrance should have a high security lock as determined by GSA specifications and/or agency requirements.

B.3 Interior Security Employee/Visitor Identification

Agency Photo ID for all Personnel Dis- May not be required in smaller facilities. played At All Times. Visitor Control/Security System ...... Visitors should be readily apparent in Level I facilities. Other facilities may ask visitors to sign-in with a receptionist or guard, or require an escort, or formal identification/badge. Visitor Id Accountability System ...... Stringent methods of control over visitor badges will ensure that visitors wearing badges have been screened and are authorized to be at the facility during the appropriate time frame. Establish Id Issuing Authority ...... Develop procedures and establish authority for issuing employee and visitor IDs.

Utilities

Prevent Unauthorized Access to Utility Smaller facilities may not have control over utility access, or locations of utility Areas. areas. Where possible, assure that utility areas are secure and that only authorized personnel can gain entry. Provide Emergency Power To Critical Sys- Tenant agency is responsible for determining which computer and communication tems. systems require back-up power. All alarm systems, CCTV monitoring devices, fire detection systems, entry control devices, etc. require emergency power sources. (Alarm Systems, Radio Communications, Computer Facilities, Etc.)

Occupant Emergency Plans

Examine Occupant Emergency Plan (OEP) Review and update current OEP procedures for thoroughness. OEPs should reflect and Contingency Procedures Based on the current security climate. Threats. Assign and Train OEP Officials ...... Assignment based on GSA requirement that largest tenant in facility maintain OEP responsibility. Officials should be assigned, trained and a contingency plan established to provide for the possible absence of OEP officials in the event of emergency activation of the OEP. Annual Tenant Training ...... All tenants should be aware of their individual responsibilities in an emergency situation.

Day Care Center

Re-Evaluate Current Security and Safety Conduct a thorough review of security and safety standards. Standards. Assess Feasibility of Locating Day Care If a facility is being considered for a day care center, an evaluation should be Within Federal Facility. made based on the risk factors associated with tenants and the location of the facility.

B.4 Security Planning Intelligence Sharing

Establish Law Enforcement Agency/Secu- Intelligence sharing between law enforcement agencies and security organizations rity Liaisons. should be established in order to facilitate the accurate flow of timely and relevant information between appropriate government agencies. Agencies involved in providing security must be part of the complete intelligence process. Review/Establish Procedures for Intel- Determine what procedures exist to ensure timely delivery of critical intelligence. ligence Receipt/Dissemination. Review and improve procedures to alert agencies and specific targets of criminal/terrorist threats. Establish standard administrative procedures for response to incoming alerts. Review flow of information for effectiveness and time critical dissemination. Establish Uniform Security/Threat Nomen- To facilitate communication, standardized terminology for Alert Levels should be clature. implemented. (Normal, Low, Moderate, and High—As recommended by Security Standards Committee)

Training

Conduct Annual Security Awareness Train- Provide security awareness training for all tenants. At a minimum, self-study pro- ing. grams utilizing videos, and literature, etc. should be implemented. These materials should provide up-to-date information covering security practices, employee security awareness, and personal safety, etc.

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Term Definition/description

Establish Standardized Armed And Un- Requirements for these positions should be standardized government wide. armed Guard Qualifications/Training Re- quirements.

Tenant Assignment

Co-Locate Agencies With Similar Security To capitalize on efficiencies and economies, agencies with like security require- Needs. ments should be located in the same facility if possible. Do Not Co-Locate High/Low Risk Agencies Low risk agencies should not take on additional risk by being located with high risk agencies.

Administrative Procedures

Establish Flexible Work Schedule in High Flexible work schedules can enhance employee safety by staggering reporting and Threat/High Risk Area to Minimize Em- departure times. As an example flexible schedules might enable employees to ployee Vulnerability to Criminal Activity. park closer to the facility by reducing the demand for parking at peak times of the day. Arrange for Employee Parking In/Near Minimize exposure to criminal activity by allowing employees to park at or inside Building After Normal Work Hours. the building. Conduct Background Security Checks and/ Establish procedures to ensure security where private contract personnel are con- or Establish Security Control Procedures cerned. Procedures may be as simple as observation or could include sign-in/es- for Service Contract Personnel. cort. Frequent visitors may necessitate a background check with contractor ID issued.

Construction/Renovation

Install Mylar Film on All Exterior Windows Application of shatter resistant material to protect personnel and citizens from the (Shatter Protection). hazards of flying glass as a result of impact or explosion. Review Current Projects For Blast Stand- Design and construction projects should be reviewed if possible, to incorporate cur- ards. rent technology and blast standards. Immediate review of ongoing projects may generate savings in the implementation of upgrading to higher blast standards prior to completion of construction. Review/Establish Uniform Standards For Review, establish, and implement uniform construction standards as it relates to Construction. security considerations. Review/Establish New Design Standard for In smaller facilities or those that lease space, control over design standards may Blast RESISTANCE. not be possible. However, future site selections should attempt to locate in facilities that do meet standards. New construction of government controlled facilities should review, establish, and implement new design standards for blast resistance. Establish Street Set-Back for New Con- Every foot between a potential bomb and a building will dramatically reduce dam- struction. age and increase the survival rate. Street set-back is always desirable, but should be used in conjunction with barriers in Level IV and V facilities.

(Reproduced from Appendix C, Classification Table, U.S. Department of Justice, United States Marshals Service report Vulnerability Assessment of Federal Facilities)

Level Typical location

III ...... Agency Mix: Government Records.

APPENDIX B TO PART 1234—ALTER- 2. Specifications for NARA facilities using 15 NATIVE CERTIFIED FIRE-SAFETY DE- foot high records storage. NARA fire-safety TECTION AND SUPPRESSION SYSTEM(S) systems that incorporate all components specified in paragraphs 2.a. through n. of this appendix have been tested and certified to 1. General. This Appendix B contains infor- meet the requirements in § 1234.12(s) for an mation on the Fire-safety Detection and acceptable fire-safety detection and suppres- Suppression System(s) tested by NARA sion system for storage of Federal records. through independent live fire testing that a. The records storage height must not ex- are certified to meet the requirement in ceed the nominal 15 feet (±3 inches) records § 1234.12(s) for storage of Federal Records. storage height. Use of a system specified in this appendix is b. All records storage and adjoining areas optional. A facility may choose to have an must be protected by automatic wet-pipe alternate fire-safety detection and suppression system approved under § 1234.32).

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sprinklers. Automatic sprinklers are speci- to meet both fire hose and sprinkler require- fied herein because they provide the most ef- ments for 2-hours. A fire pump connected to fective fire protection for high piled storage an emergency power source must be provided of paper records on open type shelving. in accordance with NFPA 20 (incorporated by c. The sprinkler system must be rated at reference, see § 1234.3), when adequate water no higher than 285 degrees Fahrenheit uti- pressure is not assured. In the event that lizing quick response (QR) fire sprinkler public water mains are not able to supply heads and designed by a licensed fire protec- adequate volumes of water to the site, on- tion engineer to provide the specified density site water storage must be provided. for the most remote 1,500 square feet of floor i. Interior fire hose stations equipped with area at the most remote sprinkler head in a 11⁄2 inch diameter hose may be provided in accordance with NFPA 13 (incorporated by the records storage areas if required by the reference, see § 1234.3). For facilities with local fire department, enabling any point in roofs rated at 15 minutes or greater, provide the records storage area to be reached by a 1⁄2″ QR sprinklers rated at no higher than 285 50-foot hose stream from a 100-foot hose lay. degrees Fahrenheit designed to deliver a den- If provided, these cabinets must be marked sity of 0.30 gpm per square foot. For unrated ‘‘For Fire Department Use Only.’’ ″ roofs, provide 0.64 QR ‘‘large drop’’ sprin- j. Where fire hose cabinets are not re- klers rated at no higher than 285 degrees quired, fire department hose outlets must be Fahrenheit. For facilities using 7 or 8 shelf provided at each floor landing in the building track files, use QR sprinklers rated at no core or stair shaft. Hose outlets must have higher than 285 degrees Fahrenheit. For new an easily removable adapter and cap. construction and replacement sprinklers, Threads and valves must be compatible with NARA recommends that the sprinklers be the local fire department’s equipment. Spac- rated at 165 degrees Fahrenheit. Installation ing must be so that any point in the record of the sprinkler system must be in accord- storage area can be reached with a 50-foot ance with NFPA 13 (incorporated by ref- hose stream from a 100-foot hose lay. erence, see § 1234.3). d. Maximum spacing of the sprinkler heads k. In addition to the designed sprinkler must be on a 10-foot grid and the positioning flow demand, 500 gpm must be provided for of the heads must provide complete, unob- hose stream demand. The hose stream de- structed coverage, with a clearance of not mand must be calculated into the system at less than 18 inches from the top of the high- the base of the main sprinkler riser. est stored materials. l. Fire hydrants must be located within 250 e. The sprinkler system must be equipped feet of each exterior entrance or other access with a water-flow alarm connected to an au- to the records storage facility that could be dible alarm within the facility and to a con- used by firefighters. Each required hydrant tinuously staffed fire department or an Un- must provide a minimum flow capacity of 500 derwriters Laboratory approved central gpm at 20 psi. All hydrants must be at least monitoring station (see UL 827 (incorporated 50 feet away from the building walls and ad- by reference, see § 1234.3)) with responsibility jacent to a roadway usable by fire apparatus. for immediate response. Fire hydrants must have at least two, 21⁄2 f. A manual fire alarm system must be pro- inch hose outlets and a pumper connection. vided with a Underwriters Laboratory ap- All threads must be compatible with local proved (grade A) central monitoring station standards. service or other automatic means of noti- m. Portable water-type fire extinguishers fying the municipal fire department. A man- (21⁄2 gallon stored pressure type) must be pro- ual alarm pull station must be located adja- vided at each fire alarm striking station. cent to each exit. Supplemental manual The minimum number and locations of fire alarm stations are permitted within the extinguishers must be as required by NFPA records storage areas. 10 (incorporated by reference, see § 1234.3). g. All water cutoff valves in the sprinkler n. Single level catwalks without automatic system must be equipped with automatic sprinklers installed underneath may be pro- closure alarm (tamper alarm) connected to a vided in the service aisles if the edges of all continuously staffed station, with responsi- files in the front boxes above the catwalks bility for immediate response. If the sprin- are stored perpendicular to the aisle (to min- kler water cutoff valve is located in an area imize files exfoliation in a fire). Where pro- used by the public, in addition to the tamper vided, the walking surface of the catwalks alarm, the valves must be provided with must be of expanded metal at least .09-inch frangible (easily broken) padlocks. thickness with a 2-inch mesh length. The h. A dependable water supply free of inter- surface opening ratio must be equal or great- ruption must be provided including a contin- er than 0.75. The sprinkler water demand for uous site fire loop connected to the water protection over bays with catwalks where main and sized to support the facility with records above the catwalks are not perpen- only one portion of the fire loop operational. dicular to the aisles must be calculated hy- This normally requires a backup supply sys- draulically to give .30 gpm per square foot tem having sufficient pressure and capacity for the most remote 2,000 square feet.

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PART 1235—TRANSFER OF Subpart A—General Transfer RECORDS TO THE NATIONAL AR- Requirements CHIVES OF THE UNITED STATES § 1235.1 What are the authorities for part 1235? Subpart A—General Transfer Requirements The statutory authorities for this Sec. part are 44 U.S.C. 2107 and 2108. 1235.1 What are the authorities for part 1235? § 1235.2 What definitions apply to this 1235.2 What definitions apply to this part? part? 1235.3 What standards are used as guidance See § 1220.18 of this subchapter for for this part? 1235.4 What publications are incorporated definitions of terms used in part 1235. by reference in this part? 1235.10 What records do agencies transfer to § 1235.3 What standards are used as the National Archives of the United guidance for this part? States? These regulations conform to guid- 1235.12 When must agencies transfer records ance provided in ISO 15489–1:2001. Para- to the National Archives of the United graphs 8.3 (Designing and imple- States? menting records systems), 9.6 (Storage 1235.14 May agencies retain records for the and handling), and 9.7 (Access) are par- conduct of regular agency business after ticularly relevant to this part. they are eligible for transfer? 1235.16 How will NARA respond to an agen- § 1235.4 What publications are incor- cy’s request to retain records? porated by reference in this part? 1235.18 How do agencies transfer records to the National Archives of the United (a) Certain material is incorporated States? by reference into this part with the ap- 1235.20 How do agencies indicate that trans- proval of the Director of the Federal ferred records contain information that Register under 5 U.S.C. 552(a) and 1 is restricted from public access? CFR part 51. To enforce any edition 1235.22 When does legal custody of records other than that specified in this sec- transfer to NARA? tion, the NARA must publish notice of Subpart B—Administration of Transferred change in the FEDERAL REGISTER and Records the material must be available to the public. All approved material is avail- 1235.30 How may records in the National Ar- able for inspection at the Office of the chives of the United States be used? Federal Register. For information on 1235.32 How does NARA handle restrictions the availability of this material at the on transferred records? Office of the Federal Register, call 202– 1235.34 May NARA destroy transferred records? 741–6030 or go to http://www.archives.gov/ federallregister/ Subpart C—Transfer Specifications and codeloflfederallregulations/ Standards ibrllocations.html. (b) The material incorporated by ref- 1235.40 What records are covered by addi- erence is also available for inspection tional transfer requirements? at NARA’s Archives Library Informa- 1235.42 What specifications and standards for transfer apply to audiovisual, car- tion Center (NWCCA), Room 2380, 8601 tographic, and related records? Adelphi Road, College Park, MD 20740– 1235.44 What general transfer requirements 6001, phone number (301) 837–3415, and is apply to electronic records? available for purchase from the sources 1235.46 What electronic media may be used listed below. If you experience dif- for transferring records to the National ficulty obtaining the standards ref- Archives of the United States? erenced below, contact National Ar- 1235.48 What documentation must agencies chives and Records Administration, transfer with electronic records? Electronic/Special Media Records Serv- 1235.50 What specifications and standards for transfer apply to electronic records? ices Division (NWME), 8601 Adelphi Road, College Park, MD 20740, phone AUTHORITY: 44 U.S.C. 2107 and 2108. number (301) 837–1578. SOURCE: 74 FR 51014, Oct. 2, 2009, unless (c) International Organization for otherwise noted. Standards (ISO). The following ISO

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standards are available from the Amer- ture of CD–ROM for Information Ex- ican National Standards Institute, 25 change, 1990, IBR approved for § 1235.46. West 43rd St., 4th Floor, New York, NY (4) ISO/IEC 15307:1997 (‘‘ISO/IEC 10036, phone number (212) 642–4900, or 15307’’), Information technology—Data online at http://webstore.ansi.org. interchange on 12,7 mm 128-track mag- (1) ISO/IEC 15896:1999 (‘‘ISO/IEC netic tape cartridges—DLT 4 format, 15896’’), Information technology—Data First Edition, December 1, 1997, IBR interchange on 12,7 mm 208-track mag- approved for § 1235.46. netic tape cartridges—DLT 5 format, § 1235.10 What records do agencies First Edition, December 15, 1999, IBR transfer to the National Archives of approved for § 1235.46. the United States? (2) ISO/IEC 16382:2000 (‘‘ISO/IEC Agencies must transfer to the Na- 16382’’), Information technology—Data tional Archives of the United States interchange on 12,7 mm 208-track mag- records that have been scheduled as netic tape cartridges—DLT 6 format, permanent on an SF 115, Request for First Edition, May 15, 2000, IBR ap- Records Disposition Authority, records proved for § 1235.46. that are designated as permanent in a (d) Document Engineering Co., Inc. The GRS; and, when appropriate, records following standards are available from that are accretions to holdings (con- the standards reseller DECO—Docu- tinuations of series already ment Engineering Co., Inc., 15210 Stagg accessioned.) Street, Van Nuys, CA, phone number (818) 782–1010, or online at http:// § 1235.12 When must agencies transfer www.doceng.com: records to the National Archives of (1) ANSI X3.39–1986 (‘‘ANSI X3.39’’), the United States? American National Standard: Recorded Permanent records must be trans- Magnetic Tape for Information Inter- ferred to the National Archives of the change (1600 CPI, PE), 1986, IBR ap- United States when: proved for § 1235.46. (a) The records are eligible for trans- (2) [Reserved] fer based on the transfer date specified (e) The following standards are not in a NARA-approved records schedule, available from the original publisher or or a standards reseller. As indicated in (b) The records have been in exist- paragraph (b) of this section, the stand- ence for more than 30 years (see also ards are available for inspection at the § 1235.14). NWCCA. In order to inspect the stand- § 1235.14 May agencies retain records ards at a NARA location other than the for the conduct of regular agency NARA facility in College Park, MD, business after they are eligible for please contact the NWCCA, Room 2380, transfer? 8601 Adelphi Road, College Park, MD (a) Agencies may retain records 20740–6001, phone number (301) 837–3415 longer than specified on a records dis- or e-mail your request to position schedule only with written ap- [email protected]. proval from NARA. (1) ANSI X3.54–1986 (‘‘ANSI X3.54’’), (b) If the agency determines that the American National Standard: Recorded records are needed for the conduct of Magnetic Tape for Information Inter- regular business, the records officer change (6250 CPI, Group Coded Record- must submit to the National Archives ing), 1986, IBR approved for § 1235.46. and Records Administration, Modern (2) ANSI X3.180–1990 (‘‘ANSI X3.180’’), Records Programs (NWM), 8601 Adelphi American National Standard: Magnetic Road, College Park, MD 20740–6001, Tape and Cartridge for Information phone number (301) 837–1738, a written Interchange—18-Track, Parallel, 1⁄2 request certifying continuing need. inch (12.65 mm), 37871 cpi (1491 cpmm), This certification must: Group-Coded—Requirements for Re- (1) Include a comprehensive descrip- cording, 1990, IBR approved for § 1235.46. tion and location of records to be re- (3) ANSI/NISO/ISO 9660–1990 (‘‘ANSI/ tained; NISO/ISO 9660’’), American National (2) Cite the NARA-approved disposi- Standard for Volume and File Struc- tion authority;

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(3) Describe the current business for (5 U.S.C. 552(b) as amended), that au- which the records are required; thorizes the restrictions. (4) Estimate the length of time the records will be needed (if no date is § 1235.22 When does legal custody of provided by the agency, approved cer- records transfer to NARA? tification requests will be effective for Legal custody of records passes from a maximum of five years); the agency to NARA when the appro- (5) Explain why agency needs cannot priate NARA official signs the SF 258 be met by NARA reference services or acknowledging receipt of the records. copies of records deposited in the Na- tional Archives of the United States; and Subpart B—Administration of (6) If records are retained to enable Transferred Records routine public reference by the agency rather than NARA, cite the statutory § 1235.30 How may records in the Na- authority authorizing this agency ac- tional Archives of the United States be used? tivity. (a) NARA will enforce restrictions § 1235.16 How will NARA respond to that are consistent with FOIA (5 U.S.C. an agency’s request to retain 552(b) as amended) for both official use records? of the records by Federal agencies and (a) Approval. NARA will provide writ- research by the public. ten approval of the request to retain (b) NARA regulations in Subchapter the records for the specified period C of this chapter apply to Federal within 30 days of receipt of the request. agency personnel using transferred (b) Disapproval. NARA will provide records for official Government pur- written disapproval of an agency’s re- poses, and to the public at large. quest within 30 days. Requests will be denied if the agency is retaining the § 1235.32 How does NARA handle re- records primarily to: strictions on transferred records? (1) Provide access services to persons (a) For records less than 30 years old. outside the agency that can be provided by NARA, or Unless required by law, NARA will re- (2) Function as an agency archives, move or relax restrictions on trans- unless specifically authorized by stat- ferred records less than 30 years old ute or by NARA. only with the written concurrence of the transferring agency or, if applica- § 1235.18 How do agencies transfer ble, its successor agency. If the trans- records to the National Archives of ferring agency no longer exists, and the United States? there is no successor, the Archivist Agencies transfer records by submit- may relax, remove, or impose restric- ting a signed SF 258, Agreement to tions to serve the public interest. Transfer Records to the National Ar- (b) For records more than 30 years old. chives of the United States. Each SF (1) After records are more than 30 258 must correlate to a specific records years old, most statutory and other re- series or other aggregation of records, strictions on transferred records ex- as identified in an item on the SF 115 pire. NARA, however, after consulting or cited on the SF 258. with the transferring agency, may keep the restrictions in force for a longer pe- § 1235.20 How do agencies indicate that transferred records contain in- riod. formation that is restricted from (2) See part 1256 of this chapter for public access? restrictions on specific categories of When completing an SF 258, agencies records, including national security must indicate restrictions on the use classified information and information and examination of records and attach that would invade the privacy of an in- a written justification. The justifica- dividual that NARA restricts beyond 30 tion must cite the statute or Freedom years. of Information Act (FOIA) exemption

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§ 1235.34 May NARA destroy trans- unrehearsed events of historical inter- ferred records? est or historically significant phe- NARA will not destroy records trans- nomena: ferred to NARA’s custody except: (i) Original negative or color origi- (a) With the written concurrence of nal; and the agency or its successor, or (ii) Matching print or videotape. (b) As authorized on an SF 258. (b) Video recordings. (1) For videotape, the original or ear- Subpart C—Transfer Specifications liest generation videotape and a copy for reference. Agencies must comply and Standards with requirements in § 1237.12(d) of this § 1235.40 What records are covered by subchapter for original videotapes, al- additional transfer requirements? though VHS copies can be transferred as reference copies. In addition to complying with sub- (2) For video discs, the premaster vid- parts A and B of this part, agencies eotape used to manufacture the video must follow the specifications and requirements in this subpart when trans- disc and two copies of the disc. Agen- ferring audiovisual, cartographic, ar- cies must consult the National Ar- chitectural, and electronic records to chives and Records Administration, the National Archives of the United Special Media Archives Services Divi- States. In general, such records must sion, (NWCS), 8601 Adelphi Road, Col- be transferred to the National Archives lege Park, MD 20740, phone number of the United States as soon as they be- (301) 837–2903, before initiating trans- come inactive or whenever the agency fers of video discs that depend on inter- cannot provide proper care and han- active software and nonstandard equip- dling of the records, including adequate ment. storage conditions (see parts 1236 and (c) Still pictures. 1237 of this subchapter). (1) For analog black-and-white photographs, an original negative and a cap- § 1235.42 What specifications and tioned print. The captioning informa- standards for transfer apply to tion may be maintained in another file audiovisual records, cartographic, such as a database if the file number and related records? correlation is clear. If the original neg- In general the physical types de- ative is nitrate, unstable acetate, or scribed below comprise the minimum glass based, the agency must also record elements that are needed for fu- transfer a duplicate negative on a poly- ture preservation, duplication, and ref- ester base. erence for audiovisual records, car- (2) For analog color photographs, the tographic records, and related records. original color negative, color trans- (a) Motion pictures. parency, or color slide; a captioned (1) Agency-sponsored or produced mo- print (or captioning information main- tion picture films (e.g., public informa- tained in another file if the file number tion films) whether for public or inter- correlation is clear); and a duplicate nal use: negative, or slide, or transparency, if (i) Original negative or color original they exist. plus separate optical sound track; (3) For slide sets, the original and a (ii) Intermediate master positive or reference set, and the related audio re- duplicate negative plus optical track cording (in accordance with paragraph sound track; and, (e) of this section) and script. (iii) Sound projection print and video (4) For other pictorial records such as recording, if they exist. posters, original art work, and film- (2) Agency-acquired motion picture strips, the original and a reference films: Two projection prints in good copy. condition or one projection print and (d) Digital photographic records. See 36 one videotape. CFR 1235.48(e) and 1235.50(e) for trans- (3) Unedited footage, outtakes, and fer requirements for digital photo- trims (the discards of film productions) graphic records. that are properly arranged, labeled, (e) Sound recordings. and described and show unstaged, (1) Disc recordings.

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(i) For electronic recordings, the each edition of a printed or processed origination recording regardless of map issued. form and two compact discs (CDs) or (3) Paper copies of computer-related digital video disks (DVDs). and computer-plotted maps that can no (ii) For analog disc recordings, the longer be reproduced electronically. master tape and two disc pressings of (4) Index maps, card indexes, lists, each recording, typically a vinyl copy catalogs, or other finding aids that for playback at 331⁄3 revolutions per may be helpful in using the maps minute (rpm). transferred. (2) For analog audio recordings on (5) Records related to preparing, com- magnetic tape (open reel, cassette, or piling, editing, or printing maps, such cartridge), the original tape, or the as manuscript field notebooks of sur- earliest available generation of the re- veys, triangulation and other geodetic cording, and a subsequent generation computations, and project folders con- copy for reference. Agencies must com- taining agency specifications for cre- ply with the requirements in 36 CFR ating the maps. 1237.12(c) of this subchapter for audio (h) Aerial photography and remote recordings. sensing imagery, including: (f) Finding aids and production docu- (1) Vertical and oblique negative aer- mentation. The following records must ial film created using conventional air- be transferred to the National Archives craft. of the United States with the audio- (2) Annotated copy negatives, inter- visual records to which they pertain: negatives, rectified negatives, and (1) Existing finding aids such as data glass plate negatives from vertical and sheets, shot lists, continuities, review oblique aerial film created using con- sheets, catalogs, indexes, list of cap- ventional aircraft. tions, and other documentation that (3) Annotated prints from aerial film are needed or useful to identify or re- created using conventional aircraft. trieve audiovisual records. Agencies (4) Infrared, ultraviolet, multispec- must consult the National Archives tral (multiband), video, imagery radar, and Records Administration, Special and related tapes, converted to a film Media Archives Services Division base. (NWCS), 8601 Adelphi Road, College Park, MD 20740, phone number (301) (5) Indexes and other finding aids in 837–2903, concerning transfer of finding the form of photo mosaics, flight line aids that do not meet the requirements indexes, coded grids, and coordinate of this part for electronic records. grids. (2) Production case files or similar (i) Architectural and related engineer- files that include copies of production ing drawings, including: contracts, scripts, transcripts, and ap- (1) Design drawings, preliminary and propriate documentation bearing on presentation drawings, and models that the origin, acquisition, release, and document the evolution of the design ownership of the production. of a building or structure. (g) Maps and charts. (2) Master sets of drawings that docu- (1) Manuscript maps; printed and ment both the initial design and con- processed maps on which manuscript struction and subsequent alterations of changes, additions, or annotations a building or structure. This category have been made for record purposes or includes final working drawings, ‘‘as- which bear manuscript signatures to built’’ drawings, shop drawings, and re- indicate official approval; and single pair and alteration drawings. printed or processed maps that have (3) Drawings of repetitive or standard been attached to or interfiled with details of one or more buildings or other documents of a record character structures. or in any way made an integral part of (4) ‘‘Measured’’ drawings of existing a record. buildings and original or photocopies of (2) Master sets of printed or proc- drawings reviewed for approval. essed maps issued by the agency. A (5) Related finding aids and specifica- master set must include one copy of tions to be followed.

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(j) Digital geospatial data records. See manent records to the National Ar- § 1235.48(c) for transfer requirements for chives of the United States. (See 36 digital geospatial data records. CFR 1236.28 for the requirements gov- erning the selection of electronic § 1235.44 What general transfer re- records storage media for current agen- quirements apply to electronic records? cy use.) The agency must use only media that is are sound and free from (a) Each agency must retain a copy defects for transfers to the National of permanent electronic records that it Archives of the United States. When transfers to NARA until it receives of- permanent electronic records may be ficial notification that NARA has as- sumed responsibility for continuing disseminated through multiple elec- preservation of the records. tronic media (e.g., magnetic tape, CD– (b) For guidance related to the trans- ROM) or mechanisms (e.g., FTP), the fer of electronic records other than agency and NARA must agree on the those covered in this subpart, the agen- most appropriate medium or method cy must consult with the National Ar- for transfer of the records into the Na- chives and Records Administration, tional Archives of the United States. Electronic/Special Media Records Serv- (b) Magnetic tape. Agencies may ices Division (NWME), 8601 Adelphi transfer electronic records to the Na- Road, College Park, MD 20740, phone tional Archives of the United States on number (301) 837–3420. magnetic tape as follows: (c) When transferring digital photo- (1) Open-reel magnetic tape must be graphs and their accompanying on 1⁄2-inch 9-track tape reels recorded metatdata, the agency must consult at 1600 or 6250 bpi that meet ANSI X3.39 with the National Archives and or ANSI X3.54 (both incorporated by Records Administration, Special Media reference, see § 1235.4), respectively. Archives Services Division (NWCS) for (2) 18-track 3480-class cartridges must digital photographs, 8601 Adelphi Road, be recorded at 37,871 bpi that meet College Park, MD 20740, phone number ANSI X3.180 (incorporated by reference (301) 837–2903. see, § 1235.4). The data must be blocked § 1235.46 What electronic media may at no more than 32,760 bytes per block. be used for transferring records to (3) For DLT tape IV cartridges, the the National Archives of the United data must be blocked at no more than States? 32,760 bytes per block and must con- (a) General. This section specifies the form to the standards cited in the table media or method used to transfer per- as follows:

If you are copying the records on ...... then, the standard below applies.

DLTtape IV with a DLT 4000 drive ...... ISO/IEC 15307 (incorporated by reference see, § 1235.4). DLTtape IV with a DLT 7000 drive ...... ISO/IEC 15896 (incorporated by reference see, § 1235.4). DLTtape IV with a DLT 8000 drive ...... ISO/IEC 16382 (incorporated by reference see, § 1235.4).

(c) Compact-Disk, Read Only Memory records must be in files that contain (CD–ROM) and Digital Video Disks only permanent records. Agencies must (DVDs). Agencies may use CD–ROMs indicate at the time of transfer if a CD– and DVDs to transfer permanent elec- ROM or DVD contains temporary tronic records to the National Archives records and where those records are lo- of the United States. cated on the CD–ROM or DVD. The (1) CD–ROMs used for this purpose agency must also specify whether must conform to ANSI/NISO/ISO 9660 NARA should return the CD–ROM or (incorporated by reference, see § 1235.4). DVD to the agency or dispose of it (2) Permanent electronic records after copying the permanent records to must be stored in discrete files. Trans- an archival medium. ferred CD–ROMs and DVDs may con- (3) If permanent electronic records tain other files, such as software or are stored on both CD–ROM (or DVD) temporary records, but all permanent and other media, such as magnetic

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tape, the agency and NARA must agree scription Form, or their equivalents. on the medium that will be used to Agencies must submit the required transfer the records into the National documentation, if electronic, in an Archives of the United States. electronic form that conforms to the (d) File Transfer Protocol. Agencies provisions of this section. may use File Transfer Protocol (FTP) (b) Data files. Documentation for data to transfer permanent electronic files and data bases must include records to the National Archives of the record layouts, data element defini- United States only with NARA’s ap- tions, and code translation tables proval. Several important factors may (codebooks) for coded data. Data ele- limit the use of FTP as a transfer ment definitions, codes used to rep- method, including the number of resent data values, and interpretations records, record file size, and available of these codes must match the actual bandwidth. Agencies must contact the format and codes as transferred. National Archives and Records Admin- (c) Digital geospatial data files. Digital istration, Special Media Archives Serv- geospatial data files must include the ices Division (NWCS), 8601 Adelphi documentation specified in paragraph Road, College Park, MD 20740, phone (b) of this section. In addition, docu- number (301) 837–2903, or the National mentation for digital geospatial data Archives and Records Administration, files can include metadata that con- Electronic/Special Media Records Serv- forms to the Federal Geographic Data ices Division (NWME), 8601 Adelphi Committee’s Content Standards for Road, College Park, MD 20740, phone Digital Geospatial Metadata, as speci- number (301) 837–1578, to initiate the fied in Executive Order 12906 of April transfer discussions. Each transfer of 11, 1994 (3 CFR, 1995 Comp., p. 882) (Fed- electronic records via FTP must be eral geographic data standards are preceded with a signed SF 258 sent to available at http://www.fgdc.gov/stand- NWME. ards/standardslpublications). (1) FTP file structure may use the 64- (d) Documents containing SGML tags. character Joliet extension naming con- Documentation for electronic files convention only when letters, numbers, taining textual documents with SGML dashes (–), and underscores (lll) are tags must include a table for inter- used in the file and/or directory names, preting the SGML tags, when appro- with a slash (/) used to indicate direc- priate. tory structures. Otherwise, FTP file (e) Electronic records in other formats. structure must conform to an 8.3 file (1) This paragraph (e) applies to the naming convention and file directory documentation for the following types structure as cited in ANSI/NISO/ISO of electronic records: 9660 (incorporated by reference, see (i) E-mail messages with attach- § 1235.4). ments; (2) Permanent electronic records must be transferred in discrete files, (ii) Scanned images of textual separate from temporary files. All per- records; manent records must be transferred in (iii) Records in portable document files that contain only permanent format (PDF); records. (iv) Digital photographic records; and (v) Web content records. § 1235.48 What documentation must (2) Guidance on the documentation agencies transfer with electronic for electronic records in these formats records? are available on the NARA Electronic (a) General. Agencies must transfer Records Management Initiative Web documentation adequate to identify, page at http://www.archives.gov/records- service, and interpret the permanent mgmt/initiatives/transfer-to-nara.html or electronic records This documentation from the National Archives and must include completed NARA Form Records Administration, Special Media 14097, Technical Description for Trans- Archives Services Division (NWCS), fer of Electronic Records, for magnetic 8601 Adelphi Road, College Park, MD tape media, and a completed NARA 20740, phone number (301) 837–2903 for Form 14028, Information System De- digital photographs and metadata, or

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the National Archives and Records Ad- except record length indicators for ministration, Electronic/Special Media variable length records, or marks de- Records Services Division (NWME), limiting a data element, field, record, 8601 Adelphi Road, College Park, MD or file. If records or data elements in 20740, phone number 301–837–1578, for different files need to be linked or com- other electronic records. bined, then each record must contain one or more data elements that con- § 1235.50 What specifications and stitute primary and/or foreign keys en- standards for transfer apply to elec- abling valid linkages between the re- tronic records? lated records in separate files. (a) General. (c) Digital geospatial data files. Digital (1) Agencies must transfer electronic spatial data files must be transferred records in a format that is independent to the National Archives of the United of specific hardware or software. Ex- States in a format that complies with cept as specified in paragraphs (c) a non-proprietary, published open through (e) of this section, the records standard maintained by or for a Fed- must be written in American Standard eral, national, or international stand- Code for Information Interchange ards organization. Acceptable transfer (ASCII) or Extended Binary Coded Dec- formats include the Geography Markup imal Interchange Code (EBCDIC) with Language (GML) as defined by the all control characters and other non- Open GIS Consortium. data characters removed. Agencies (d) Textual documents. Electronic tex- must consult with the National Ar- tual documents must be transferred as chives and Records Administration, plain ASCII files; however, such files Electronic/Special Media Records Serv- may contain standard markup lan- ices Division (NWME), 8601 Adelphi guage such as Standard Generalized Road, College Park, MD 20740, phone Markup Language (SGML) or XML number (301) 837–1578 about electronic tags. records in other formats. (e) Electronic mail, scanned images of (2) Agencies must have advance ap- textual records, portable document format proval from NARA for compression of records, digital photographic records, and the records, and agencies must comply Web content records. For guidance on with a request from NARA to provide the transfer of these records to NARA, the software to decompress the records. agencies should consult the transfer re- (3) Agencies interested in transfer- quirements available on the NARA ring scheduled electronic records using Electronic Records Management Initia- a Tape Archive (TAR) utility must con- tive Web page at http:// tact the National Archives and Records www.archives.gov/records-mgmt/initia- or contact the Administration, Electronic/Special tives/transfer-to-nara.html National Archives and Records Admin- Media Records Services Division istration, Special Media Archives Serv- (NWME), 8601 Adelphi Road, College ices Division (NWCS), 8601 Adelphi Park, MD 20740, phone number (301) Road, College Park, MD 20740, phone 837–1578 to initiate transfer discussions. number 301–837–2903 for digital photo- (b) Data files and databases. Data files graphs and metadata, or the National and databases must be transferred to Archives and Records Administration, the National Archives of the United Electronic/Special Media Records Serv- States as flat files or as rectangular ta- ices Division (NWME), 8601 Adelphi bles; i.e., as two-dimensional arrays, Road, College Park, MD 20740, phone lists, or tables. All ‘‘records’’ (within number (301) 837–1578, for other elec- the context of the computer program, tronic records, as opposed to a Federal record) or ‘‘tuples,’’ i.e., ordered collections of data items, within a file or table must PART 1236—ELECTRONIC RECORDS have the same logical format. Each MANAGEMENT data element within a record must contain only one data value. A record Subpart A—General must not contain nested repeating Sec. groups of data items. The file must not 1236.1 What are the authorities for part contain extraneous control characters, 1236?

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1236.2 What definitions apply to this part? Electronic information system means an 1236.4 What standards are used as guidance information system that contains and for this part? provides access to computerized Fed- 1236.6 What are agency responsibilities for electronic records management? eral records and other information. Electronic mail system means a com- Subpart B—Records Management and puter application used to create, re- Preservation Considerations for De- ceive, and transmit messages and other signing and Implementing Electronic documents. Excluded from this defini- Information Systems tion are file transfer utilities (software 1236.10 What records management controls that transmits files between users but must agencies establish for records in does not retain any transmission data), electronic information systems? data systems used to collect and proc- 1236.12 What other records management and ess data that have been organized into preservation considerations must be in- data files or data bases on either per- corporated into the design, development, and implementation of electronic infor- sonal computers or mainframe com- mation systems? puters, and word processing documents 1236.14 What must agencies do to protect not transmitted on an e-mail system. records against technological obsoles- Metadata consists of preserved con- cence? textual information describing the history, tracking, and/or management of Subpart C—Additional Requirements for Electronic Records an electronic document. Unstructured electronic records means 1236.20 What are appropriate recordkeeping records created using office automa- systems for electronic records? tion applications such as electronic 1236.22 What are the additional requirements for managing electronic mail mail and other messaging applications, records? word processing, or presentation soft- 1236.24 What are the additional require- ware. ments for managing unstructured electronic records? § 1236.4 What standards are used as 1236.26 What actions must agencies take to guidance for this part? maintain electronic information systems? These regulations conform with ISO 1236.28 What additional requirements apply 15489–1:2001. Paragraph 9.6 (Storage and to the selection and maintenance of elec- handling) is relevant to this part. tronic records storage media for permanent records? § 1236.6 What are agency responsibil- AUTHORITY: 44 U.S.C. 2904, 3101, 3102, and ities for electronic records manage- 3105. ment?

SOURCE: 74 FR 51014, Oct. 2, 2009, unless Agencies must: otherwise noted. (a) Incorporate management of electronic records into the records manage- Subpart A—General ment activities required by parts 1220– 1235 of this subchapter; § 1236.1 What are the authorities for (b) Integrate records management part 1236? and preservation considerations into The statutory authority for this part the design, development, enhancement, is 44 U.S.C. 2904, 3101, 3102, and 3105. and implementation of electronic in- OMB Circular A–130, Management of formation systems in accordance with Federal Information Resources, applies subpart B of this part; and to records and information systems (c) Appropriately manage electronic containing records. records in accordance with subpart C of § 1236.2 What definitions apply to this this part. part? (a) See § 1220.18 of this subchapter for definitions of terms used throughout Subchapter B, including part 1236. (b) As used in part 1236—

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Subpart B—Records Management § 1236.12 What other records manage- and Preservation Consider- ment and preservation considerations must be incorporated into ations for Designing and Im- the design, development, and imple- plementing Electronic Infor- mentation of electronic information mation Systems systems? As part of the capital planning and § 1236.10 What records management systems development life cycle proc- controls must agencies establish for records in electronic information esses, agencies must ensure: systems? (a) That records management controls (see § 1236.10) are planned and im- The following types of records man- plemented in the system; agement controls are needed to ensure (b) That all records in the system that Federal records in electronic in- will be retrievable and usable for as formation systems can provide ade- long as needed to conduct agency busi- quate and proper documentation of ness (i.e., for their NARA-approved re- agency business for as long as the in- tention period). Where the records will formation is needed. Agencies must in- need to be retained beyond the planned corporate controls into the electronic life of the system, agencies must plan information system or integrate them and budget for the migration of records into a recordkeeping system that is ex- and their associated metadata to new ternal to the information system itself storage media or formats in order to (see § 1236.20 of this part). avoid loss due to media decay or tech- (a) Reliability: Controls to ensure a nology obsolescence. (See § 1236.14.) full and accurate representation of the (c) The transfer of permanent records transactions, activities or facts to to NARA in accordance with part 1235 which they attest and can be depended of this subchapter. upon in the course of subsequent trans- (d) Provision of a standard inter- actions or activities. change format (e.g., ASCII or XML) (b) Authenticity: Controls to protect when needed to permit the exchange of against unauthorized addition, dele- electronic documents between offices tion, alteration, use, and concealment. using different software or operating (c) Integrity: Controls, such as audit systems. trails, to ensure records are complete and unaltered. § 1236.14 What must agencies do to (d) Usability: Mechanisms to ensure protect records against techno- records can be located, retrieved, pre- logical obsolescence? sented, and interpreted. Agencies must design and implement (e) Content: Mechanisms to preserve migration strategies to counteract the information contained within the hardware and software dependencies of record itself that was produced by the electronic records whenever the creator of the record; records must be maintained and used (f) Context: Mechanisms to implement beyond the life of the information sys- cross-references to related records that tem in which the records are originally show the organizational, functional, created or captured. To successfully and operational circumstances about protect records against technological the record, which will vary depending obsolescence, agencies must: upon the business, legal, and regu- (a) Determine if the NARA-approved latory requirements of the business ac- retention period for the records will be tivity; and longer than the life of the system (g) Structure: controls to ensure the where they are currently stored. If so, maintenance of the physical and log- plan for the migration of the records to ical format of the records and the rela- a new system before the current sys- tionships between the data elements. tem is retired. (b) Carry out upgrades of hardware and software in such a way as to retain the functionality and integrity of the

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electronic records created in them. Re- sure that appropriate audit trails are tention of record functionality and in- in place to track use of the records. tegrity requires: (5) Manage access and retrieval. Estab- (1) Retaining the records in a usable lish the appropriate rights for users to format until their authorized disposi- access the records and facilitate the tion date. Where migration includes search and retrieval of records. conversion of records, ensure that the (6) Preserve records. Ensure that all authorized disposition of the records records in the system are retrievable can be implemented after conversion; and usable for as long as needed to con- (2) Any necessary conversion of stor- duct agency business and to meet age media to provide compatibility NARA-approved dispositions. Agencies with current hardware and software; must develop procedures to enable the and migration of records and their associ- (3) Maintaining a link between ated metadata to new storage media or records and their metadata through formats in order to avoid loss due to conversion or migration, including cap- media decay or technology obsoles- ture of all relevant associated cence. metadata at the point of migration (for (7) Execute disposition. Identify and ef- both the records and the migration fect the transfer of permanent records process). to NARA based on approved records (c) Ensure that migration strategies schedules. Identify and delete tem- address non-active electronic records porary records that are eligible for dis- that are stored off-line. posal. Apply records hold or freeze on disposition when required. Subpart C—Additional Require- (c) Backup systems. System and file ments for Electronic Records backup processes and media do not provide the appropriate recordkeeping § 1236.20 What are appropriate record- functionalities and must not be used as keeping systems for electronic the agency electronic recordkeeping records? system. (a) General. Agencies must use electronic or paper recordkeeping systems § 1236.22 What are the additional re- or a combination of those systems, de- quirements for managing electronic pending on their business needs, for mail records? managing their records. Transitory e- (a) Agencies must issue instructions mail may be managed as specified in to staff on the following retention and § 1236.22(c). management requirements for elec- (b) Electronic recordkeeping. Record- tronic mail records: keeping functionality may be built (1) The names of sender and all ad- into the electronic information system dressee(s) and date the message was or records can be transferred to an sent must be preserved for each elec- electronic recordkeeping repository, tronic mail record in order for the con- such as a DoD–5015.2 STD-certified text of the message to be understood. product. The following functionalities The agency may determine that other are necessary for electronic record- metadata is needed to meet agency keeping: business needs, e.g., receipt informa- (1) Declare records. Assign unique tion. identifiers to records. (2) Attachments to electronic mail (2) Capture records. Import records messages that are an integral part of from other sources, manually enter the record must be preserved as part of records into the system, or link records the electronic mail record or linked to to other systems. the electronic mail record with other (3) Organize records. Associate with related records. an approved records schedule and dis- (3) If the electronic mail system iden- position instruction. tifies users by codes or nicknames or (4) Maintain records security. Prevent identifies addressees only by the name the unauthorized access, modification, of a distribution list, retain the intel- or deletion of declared records, and en- ligent or full names on directories or

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distributions lists to ensure identifica- either store them in a format and on a tion of the sender and addressee(s) of medium that conforms to the require- messages that are records. ments concerning transfer at 36 CFR (4) Some e-mail systems provide cal- part 1235 or maintain the ability to endars and task lists for users. These convert the records to the required for- may meet the definition of Federal mat and medium at the time transfer record. Calendars that meet the defini- is scheduled. tion of Federal records are to be man- (f) Agencies that maintain paper rec- aged in accordance with the provisions ordkeeping systems must print and file of GRS 23, Item 5. their electronic mail records with the (5) Draft documents that are cir- related transmission and receipt data culated on electronic mail systems specified by the agency’s electronic may be records if they meet the cri- mail instructions. teria specified in 36 CFR 1222.10(b) of this subchapter. § 1236.24 What are the additional re- (b) Agencies that allow employees to quirements for managing send and receive official electronic unstructured electronic records? mail messages using a system not oper- (a) Agencies that manage ated by the agency must ensure that unstructured electronic records elec- Federal records sent or received on tronically must ensure that the records such systems are preserved in the ap- are filed in a recordkeeping system propriate agency recordkeeping sys- that meets the requirements in tem. § 1236.10, except that transitory e-mail (c) Agencies may elect to manage may be managed in accordance with electronic mail records with very § 1236.22(c). short-term NARA-approved retention (b) Agencies that maintain paper periods (transitory records with a very files as their recordkeeping systems short-term retention period of 180 days must establish policies and issue in- or less as provided by GRS 23, Item 7, structions to staff to ensure that or by a NARA-approved agency records unstructured records are printed out schedule) on the electronic mail sys- for filing in a way that captures any tem itself, without the need to copy pertinent hidden text (such as com- the record to a paper or electronic rec- ment fields) or structural relationships ordkeeping system, provided that: (e.g., among worksheets in spread- (1) Users do not delete the messages sheets or other complex documents) re- before the expiration of the NARA-ap- quired to meet agency business needs. proved retention period, and (2) The system’s automatic deletion § 1236.26 What actions must agencies rules ensure preservation of the records take to maintain electronic infor- until the expiration of the NARA-ap- mation systems? proved retention period. (a) Agencies must maintain inven- (d) Except for those electronic mail tories of electronic information sys- records within the scope of paragraph tems and review the systems periodi- (c) of this section: cally for conformance to established (1) Agencies must not use an elec- agency procedures, standards, and poli- tronic mail system to store the record- cies as part of the periodic reviews re- keeping copy of electronic mail mes- quired by 44 U.S.C. 3506. The review sages identified as Federal records un- should determine if the records have less that system has all of the features been properly identified and described, specified in § 1236.20(b) of this part. and if the schedule descriptions and re- (2) If the electronic mail system is tention periods reflect the current in- not designed to be a recordkeeping sys- formational content and use. If not, tem, agencies must instruct staff on agencies must submit an SF 115, Re- how to copy Federal records from the quest for Records Disposition Author- electronic mail system to a record- ity, to NARA. keeping system. (b) Agencies must maintain up-to- (e) Agencies that retain permanent date documentation about electronic electronic mail records scheduled for information systems that is adequate transfer to the National Archives must to:

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(1) Specify all technical characteris- magnetic computer tape libraries with tics necessary for reading and proc- 1800 or fewer tape media, a 20% sample essing the records contained in the sys- or a sample size of 50 media, whichever tem; is larger, should be read. In magnetic (2) Identify all inputs and outputs; computer tape libraries with more than (3) Define the contents of the files 1800 media, a sample of 384 media and records; should be read. Magnetic computer (4) Determine restrictions on access tape media with 10 or more errors and use; should be replaced and, when possible, (5) Understand the purpose(s) and lost data must be restored. All other function(s) of the system; magnetic computer tape media which (6) Describe update cycles or condi- might have been affected by the same tions and rules for adding, changing, or cause (i.e., poor quality tape, high deleting information in the system; usage, poor environment, improper and handling) must be read and corrected (7) Ensure the timely, authorized dis- as appropriate. position of the records. (f) Before the media are 10 years old, agencies must copy permanent or un- § 1236.28 What additional require- scheduled data on magnetic records ments apply to the selection and maintenance of electronic records storage media onto tested and verified storage media for permanent new electronic media. records? (a) Agencies must maintain the stor- PART 1237—AUDIOVISUAL, CAR- age and test areas for electronic TOGRAPHIC, AND RELATED records storage media containing per- RECORDS MANAGEMENT manent and unscheduled records within the following temperature and rel- Sec. ative humidity ranges: 1237.1 What is the applicability and scope of (1) Temperature—62° to 68 °F. this part? (2) Relative humidity—35% to 45%. 1237.2 What are the authorities for part (b) Electronic media storage libraries 1237? 1237.3 What standards are incorporated by and test or evaluation areas that con- reference for this part? tain permanent or unscheduled records 1237.4 What definitions apply to this part? must be smoke-free. 1237.10 How must agencies manage their (c) For additional guidance on the audiovisual, cartographic, and related maintenance and storage of CDs and records? DVDS, agencies may consult the Na- 1237.12 What record elements must be cre- tional Institute of Standards and Tech- ated and preserved for permanent audio- nology (NIST) Special Publication 500– visual records? 252, Care and Handling of CDs and 1237.14 What are the scheduling requirements for audiovisual, cartographic, and DVDs at http://www.itl.nist.gov/iad/ related records? 894.05/papers/ 1237.16 How do agencies store audiovisual CDandDVDCareandHandlingGuide.pdf, records? contact phone number (301) 975–6478. 1237.18 What are the environmental stand- (d) Agencies must test magnetic ards for audiovisual records storage? computer tape media no more than 6 1237.20 What are special considerations in months prior to using them to store the maintenance of audiovisual records? 1237.22 What are special considerations in electronic records that are unscheduled the storage and maintenance of car- or scheduled for permanent retention. tographic and related records? This test should verify that the mag- 1237.24 What are the special considerations netic computer tape media are free of for storage and maintenance of aerial permanent errors and in compliance photographic records? with NIST or industry standards. 1237.26 What materials and processes must (e) Agencies must annually read a agencies use to create audiovisual statistical sample of all magnetic com- records? 1237.28 What special concerns apply to dig- puter tape media containing perma- ital photographs? nent and unscheduled records to iden- 1237.30 How do agencies manage records on tify any loss of data and to discover nitrocellulose-base and cellulose-acetate and correct the causes of data loss. In base film?

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AUTHORITY: 44 U.S.C. 2904 and 3101. available from the American National SOURCE: 74 FR 51014, Oct. 2, 2009, unless Standards Institute, 25 West 43rd St., otherwise noted. 4th Floor, New York, NY 10036, phone number (212) 642–4900, or online at § 1237.1 What is the applicability and http://webstore.ansi.org. scope of this part? (1) ISO 18906: 2000 (‘‘ISO 18906’’), Im- Agencies must manage audiovisual, aging Materials—Photographic Films— cartographic, and related records in ac- Specifications for Safety Film, First cordance with parts 1220–1235. This part Edition, December 15, 2000, IBR ap- prescribes additional policies and pro- proved for § 1237.26. cedures for managing audiovisual, car- (2) ISO 18911: 2000 (‘‘ISO 18911’’), Im- tographic, and related records to en- aging materials—Processed safety pho- sure adequate and proper documenta- tographic films—Storage practices, tion and authorized, timely, and appro- First Edition, November 1, 2000, IBR priate disposition. approved for § 1238.20, IBR approved for §§ 1237.16 and 1237.18. § 1237.2 What are the authorities for (3) ISO 18920: 2000 (‘‘ISO 18920’’), Im- part 1237? aging Materials—Processed Photo- The authorities for this part are 44 graphic Reflection Prints—Storage U.S.C. 2904 and 3101. Practices, First Edition, July 15, 2000, IBR approved for § 1237.18. § 1237.3 What standards are incor- (4) ANSI/AIIM TR34: 1996 (‘‘ANSI/ porated by reference in this part? AIIM TR34’’), Sampling Procedures for (a) Certain material is incorporated Inspection by Attributes of Images in by reference into this part with the ap- Electronic Image Management and proval of the Director of the Federal Micrographic Systems, May 13, 1996, Register under 5 U.S.C. 552(a) and 1 IBR approved for § 1237.28. CFR part 51. To enforce any edition (d) National Fire Protection Association other than that specified in this sec- (NFPA). The following standards are tion, NARA must publish notice of available from the National Fire Pro- change in the FEDERAL REGISTER and tection Association, 1 Batterymarch the material must be available to the Park, P.O. Box 9109, Quincy, MA 02269– public. All approved material is avail- 9101, phone number (617) 770–3000 or on- able for inspection at the Office of the line at http://catalog.nfpa.org. Federal Register. For information on (1) NFPA 40–2007 (‘‘NFPA 40–2007’’), the availability of this material at the Standard for the Storage and Handling Office of the Federal Register, call (202) of Cellulose Nitrate Film, 2007, IBR ap- 741–6030 or go to http://www.archives.gov/ proved for § 1237.30. federallregister/ (2) Reserved. codeloflfederallregulations/ (e) Techstreet. The following stand- ibrllocations.html. ards are available from the standards (b) The material incorporated by ref- reseller Techstreet, 3916 Ranchero erence is also available for inspection Drive, Ann Arbor, MI 48108, phone num- at NARA’s Archives Library Informa- ber (800) 699–9277, or online at http:// tion Center (NWCCA), Room 2380, 8601 www.Techstreet.com. Adelphi Road, College Park, MD 20740– (1) ISO 18902: 2001 (‘‘ISO 18902’’), Im- 6001, phone number (301) 837–3415, and is aging Materials—Processed Photo- available for purchase from the sources graphic Films, Plates, and Papers—Fil- listed below. If you experience dif- ing Enclosures and Storage Containers, ficulty obtaining the standards ref- 2001, IBR approved for § 1237.16. erenced below, contact NARA’s Policy (2) ISO 18923: 2000 (‘‘ISO 18923’’), Im- and Planning Staff (NPOL), National aging Materials—Polyester-Base Mag- Archives and Records Administration, netic Tape—Storage Practices, First 8601 Adelphi Road, College Park, MD Edition, June 1, 2000, IBR approved for 20740–6001, phone number (301) 837–1850. § 1237.18. (c) American National Standards Insti- (3) ISO 18925: 2002 (‘‘ISO 18925’’), Im- tute (ANSI) and International Organiza- aging Materials—Optical Disc Media— tion for Standards (ISO) standards. The Storage Practices, First Edition, June following ANSI and ISO standards are 1, 2002, IBR approved for § 1237.18.

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(f) The following standards are not craft, vehicles, weapons, machinery, available from the original publisher or and equipment. These records are also a standards reseller. As indicated in known as design and construction paragraph (b) of this section, the stand- drawings and include closely related ards are available for inspection at the indexes and written specifications. NWCCA. In order to inspect the stand- Audiovisual means any pictorial or ards at a NARA location other than the aural means of communicating infor- NARA facility in College Park, MD, mation, e.g., photographic prints, nega- please contact the NWCCA, Room 2380, tives, slides, digital images, sound re- 8601 Adelphi Road, College Park, MD cordings, and moving images. 20740–6001, phone number (301) 837–3415 Audiovisual equipment means equip- or e-mail your request to ment used for recording, producing, du- [email protected]. plicating, processing, broadcasting, (1) ISO 2859–1: 1996 (‘‘ISO 2859–1’’), distributing, storing, or exhibiting Sampling Procedures for Inspection by audiovisual materials or for providing Attributes—Part 1: Sampling Plans In- any audiovisual services. dexed by Acceptable Quality Level Audiovisual production means an orga- (AQL) for Lot-by-Lot Inspection, 1996, nized and unified presentation, devel- IBR approved for § 1237.28. oped according to a plan or script, con- (2) ANSI/NAPM IT9.11–1993 (‘‘ANSI/ taining visual imagery, sound, or both, NAPM IT9.11–1993’’), Imaging Media— and used to convey information. An Processed Safety Photographic Films— audiovisual production generally is a Storage, 1993, IBR approved for self-contained presentation. § 1237.16. Audiovisual records means records in pictorial or aural form, including still § 1237.4 What definitions apply to this photographs and motion media (i.e., part? moving images whether on motion pic- (a) See § 1220.18 of this subchapter for ture film or as video recordings), sound definitions of terms used throughout recordings, graphic works (e.g., printed Subchapter B, including part 1237. posters), mixed media, and related (b) As used in part 1237— finding aids and production files. Aerial photographic records means Cartographic records means graphic film-based images of the surface of the representations drawn to scale of se- earth, of other planetary bodies, or of lected cultural and physical features of the atmosphere that have been taken the surface of the earth, of other plan- from airborne vehicles or satellites. etary bodies, and of the atmosphere. They include vertical and oblique aer- They include maps, charts, photomaps, ial negative film taken from conven- orthophotomaps and images, atlases, tional aircraft as well as copy nega- cartograms, globes, and relief models. tives, internegatives, rectified nega- Related records are those that are inte- tives, and annotated and other prints gral to the map-making process, such from these negatives. Also included are as field survey notes, geodetic controls, infrared, ultraviolet, multispectral, map history case files, source material, video, and radar imagery that has been indexes, and finding aids. converted to a film base. These records also include the relevant index system § 1237.10 How must agencies manage in whatever form it may exist such as their audiovisual, cartographic, and mosaics, flight-line overlays or anno- related records? tated maps, or electronic data bases Each Federal agency must manage capturing the latitude and longitude its audiovisual, cartographic and re- (or other coordinate-based location lated records as required in parts 1220 data) of individual aerial photographic through 1235. In addition, agencies center points. must: Architectural and engineering records (a) Prescribe the types of audio- means graphic records that depict the visual, cartographic, and related proposed and actual construction of records to be created and maintained. stationary structures, such as build- (See § 1235.42 of this subchapter for ings, bridges, and canals as well as transfer requirements for permanent movable objects, such as ships, air- audiovisual records.)

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(b) Create and maintain current in- nitrate, unstable acetate, or glass ventories showing the location of all based, a duplicate negative on a poly- generations of audiovisual records and ester base is needed. all cartographic and related records, (2) For analog color photographs, the especially those not maintained cen- original color negative, color trans- trally by the agency. parency, or color slide; a captioned print of the original color negative and/ § 1237.12 What record elements must or captioning information in another be created and preserved for per- file such as a data base with a clear manent audiovisual records? correlation to the relevant image; and For permanent audiovisual records, a duplicate negative, or slide, or trans- the following record elements must be parency. created or acquired and preserved for (3) For slide sets, the original and a transfer into the National Archives of reference set, and the related audio re- the United States. (See § 1235.42 of this cording and script. subchapter for transfer requirements (4) For other pictorial records such as for permanent audiovisual records.) posters, original art work, and film- (a) Motion pictures. strips, the original and a reference (1) Agency-sponsored or produced mo- copy. tion picture films (e.g., public informa- (d) Digital photographic records. See tion films) whether for public or inter- § 1237.28 for requirements for digital nal use: photographs. (i) Original negative or color original (e) Sound recordings. plus separate optical sound track; (1) Disc recordings: (ii) Intermediate master positive or (i) For electronic recordings, the duplicate negative plus optical track origination recording regardless of sound track; and, form and two compact discs (CDs) or (iii) Sound projection print and video digital video disks (DVDs). recording, if both exist. (ii) For analog disc recordings, the (2) Agency-acquired motion picture master tape and two disc pressings of films: Two projection prints in good each recording, typically a vinyl copy 1 condition or one projection print and for playback at 33 ⁄3 revolutions per one videotape. minute (rpm). (2) For analog audio recordings on (3) Unedited footage, outtakes and magnetic tape (open reel, cassette, or trims (the discards of film productions) cartridge), the original tape, or the that are properly arranged, labeled, earliest available generation of the re- and described and show unstaged, cording, and a subsequent generation unrehearsed events of historical inter- copy for reference. est or historically significant phe- (f) Finding aids and production docu- nomena: mentation. (i) Original negative or color origi- (1) Existing finding aids such as data nal; and sheets, shot lists, continuities, review (ii) Matching print or videotape. sheets, catalogs, indexes, list of cap- (b) Video recordings. tions, and other documentation that (1) For analog videotapes, the origi- identifies the records. nal or earliest generation videotape (2) Production case files or similar using industrial-quality or professional files that include copies of production videotapes for originals and a copy for contracts, scripts, transcripts, and ap- reference. propriate documentation bearing on (2) For video discs, the premaster the origin, acquisition, release, and video used to manufacture the video ownership of the production. disc and two copies of the disc. (c) Still pictures. § 1237.14 What are the additional (1) For analog black-and-white photo- scheduling requirements for audio- graphs, an original negative and a cap- visual, cartographic, and related tioned print or the captioning informa- records? tion maintained in another file such as The disposition instructions should a data base if the file number correla- also provide that permanent records be tion is clear. If the original negative is transferred to the National Archives of

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the United States within 5–10 years § 1237.18 What are the environmental after creation (see also 36 CFR part standards for audiovisual records 1235). See § 1235.42 of this subchapter for storage? specifications and standards for trans- (a) Photographic film and prints. The fer to the National Archives of the requirements in this paragraph apply United States of audiovisual, car- to permanent, long-term temporary, tographic, and related records. and unscheduled audiovisual records. § 1237.16 How do agencies store audio- (1) General guidance. Keep all film in visual records? cold storage following guidance by the International Organization for Stand- Agencies must maintain appropriate ardization in ISO 18911 (incorporated storage conditions for permanent, long- by reference, see § 1237.3). See also ISO term temporary or unscheduled audio- 18920 (incorporated by reference, see visual records: § 1237.3). (a) Ensure that audiovisual records (2) Color images and acetate-based storage facilities comply with 36 CFR media. Keep in an area maintained part 1234. below 40 degrees Fahrenheit with 20– (b) For the storage of permanent, 40% relative humidity to retard the long-term temporary, or unscheduled fading of color images and the deterio- records, use audiovisual storage con- ration of acetate-based media. tainers or enclosures made of non-cor- roding metal, inert plastics, paper (b) Digital images on magnetic tape. products and other safe materials rec- For digital images stored on magnetic ommended in ISO 18902 and ISO 18911 tape, keep in an area maintained at a (both incorporated by reference, see constant temperature range of 62 de- § 1237.3); grees Fahrenheit to 68 degrees Fahr- (c) Store originals and use copies enheit, with constant relative humid- (e.g., negatives and prints) separately, ity from 35% to 45%. See also the rec- whenever practicable. Store distinct ommendations in ISO 18923 (incor- audiovisual record series separately porated by reference, see § 1237.3); and from textual series (e.g., store poster the requirements for electronic records series separately from other kinds of storage in 36 CFR 1236.28. agency publications, or photographic (c) Digital images on optical media. For series separately from general ref- permanent, long-term temporary, or erence files). Retain intellectual con- unscheduled digital images maintained trol through finding aids, annotations, on optical media (e.g., CDs, DVDs), use or other descriptive mechanisms; the recommended storage temperature (d) Store series of permanent and un- and humidity levels stated in ISO 18925 scheduled x-ray films, i.e, x-rays that (incorporated by reference, see § 1237.3). are not interspersed among paper § 1237.20 What are special consider- records (case files), in accordance with ations in the maintenance of audio- § 1238.20 of this subchapter. Store series visual records? of temporary x-ray films under conditions that will ensure their preserva- Agencies must: tion for their full retention period, in (a) Handle audiovisual records in ac- accordance with ANSI/PIMA IT9.11– cordance with commonly accepted in- 1993 (incorporated by reference, see dustry practices. § 1237.3); (b) Protect audiovisual records, in- (e) Store posters and similar graphic cluding those recorded on digital media works in oversize formats, in map or magnetic sound or video media, cases, hanging files, or other enclo- from accidental or deliberate alter- sures that are sufficiently large or ation or erasure. flexible to accommodate the records (c) If different versions of audiovisual without rolling, folding, bending, or productions (e.g., short and long other ways that compromise image in- versions or foreign-language versions) tegrity and stability; and are prepared, keep an unaltered copy of (f) Store optical disks in individual each version for record purposes. containers and use felt-tip, water-based (d) Link audiovisual records with markers for disk labeling. their finding aids, including captions

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and published and unpublished cata- with other published maps in a central logs, inventories, indexes, and produc- or master file. tion files and similar documentation (e) Avoid rolling and folding maps created in the course of audiovisual and drawings. Store permanent maps production. Establish and commu- and drawings flat in shallow drawer nicate agency-wide, clear captioning map cases in acid-free folders. standards, procedures, and responsibil- (f) Do not laminate original oversize ities. records. Consult the National Archives (e) Maintain current and accessible and Records Administration, Preserva- documentation identifying creators of tion Programs, (NWT), 8601 Adelphi audiovisual products, their precise re- Road, College Park, MD 20740, phone lationship to the agency, and the na- number (301) 837–1785 for preservation, ture and status of copyright or other storage, and treatment options. rights affecting the present and future use of items acquired from sources out- § 1237.24 What are special considerations for storage and maintenance side the agency. (See § 1222.32 of this of aerial photographic records? subchapter for requirements to ensure agency ownership of appropriate con- (a) Mark each aerial film container tractor produced records.) with a unique identification code to fa- (f) Create unique identifiers for all cilitate identification and filing. audiovisual records (e.g., for digital (b) Mark aerial film indexes with the files, use file naming conventions), unique aerial film identification codes or container codes for the aerial film that clarify connections between re- that they index. Also, file and mark lated elements (e.g., photographic the aerial indexes in such a way that prints and negatives, or original edited they can easily be retrieved by area masters and dubbing for video and covered. audio recordings), and that associate records with the relevant creating, § 1237.26 What materials and processes sponsoring, or requesting offices. must agencies use to create audio- (g) Maintain temporary and perma- visual records? nent audiovisual records separately. Agencies must: (h) Require that personnel wear (a) For picture negatives and motion white lint-free cotton (or other ap- picture preprints (negatives, masters, proved) gloves when handling film. and all other copies) of permanent, long-term temporary, or unscheduled § 1237.22 What are special consider- records, use polyester base media and ations in the storage and maintenance of cartographic and related process in accordance with industry records? standards as specified in ISO 18906 (incorporated by reference, see § 1237.3). Agencies must: (1) Ensure that residual sodium (a) Maintain permanent and unsched- thiosulfate (hypo) on newly processed uled cartographic, architectural, and black-and-white photographic film engineering records in an environment does not exceed 0.014 grams per square that does not exceed 70 degrees Fahr- meter. enheit and with relative humidity (2) Require laboratories to process under 50%. film in accordance with this standard. (b) Create an identification scheme Process color film in accordance with for each series and assign unique iden- the manufacturer’s recommendations. tification designations to each item (3) If using reversal type processing, within a series. require full photographic reversal; i.e., (c) Maintain lists or indexes for each develop, bleach, expose, develop, fix, series with cross-references to related and wash. textual records. (b) Avoid using motion pictures in a (d) Avoid interfiling separate series final ‘‘A & B’’ format (two precisely of maps, charts, or drawings, and file matched reels designed to be printed permanent cartographic and architec- together) for the reproduction of ex- tural records separately from tem- cerpts or stock footage. porary series unless hand-corrected (c) Use only industrial or professional versions have been systematically filed video and audio recording equipment,

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new and previously unrecorded mag- chives of the United States, as well as netic tape stock and blank optical business needs. Additional information media (e.g., DVD and CD), for original and assistance is available from the copies of permanent, long-term tem- National Archives and Records Admin- porary, or unscheduled recordings. istration, Modern Records Program Limit the use of consumer formats to (NWM), 8601 Adelphi Road, College distribution or reference copies or to Park, MD 20740, phone number (301) subjects scheduled for destruction. 837–1738. Avoid using videocassettes in the VHS (c) When developing digital image format for use as originals of perma- storage strategies, build redundancy nent or unscheduled records. into storage systems, backing up image (d) Record permanent, long-term, files through on-line approaches, off- temporary, or unscheduled audio re- line, or combinations of the two. (See cordings on optical media from major also electronic storage requirements in manufacturers. Avoid using cassettes § 1236.28 of this subchapter). as originals for permanent records or (d) For scanned digital images of unscheduled records (although they photographic prints, slides, and nega- may be used as reference copies). tives that are scheduled as permanent (e) For born-digital or scanned dig- or unscheduled, document the quality ital images that are scheduled as per- control inspection process employed manent or unscheduled, a record (or during scanning. master) version of each image must be (1) Visually inspect a sample of the comparable in quality to a 35 mm film images for defects, evaluate the accu- photograph or better, and must be racy of finding aids, and verify file saved in Tagged Image File Format header information and file name in- (TIFF) or JPEG File Interchange For- tegrity. mat (JFIF, JPEG). For more detailed (2) Conduct the sample using a vol- requirements on image format and resume sufficiently large to yield statis- olution, see § 1235.48(e) of this sub- tically valid results, in accordance chapter. For temporary digital photo- with one of the quality sampling meth- graphs, agencies select formats that ods presented in ANSI/AIIM TR34 (in- they deem most suitable for fulfillment corporated by reference, see § 1237.3). of business needs. (See also ISO 2859–1 (incorporated by reference, see § 1237.3).) § 1237.28 What special concerns apply (e) For born-digital images scheduled to digital photographs? as permanent, long-term temporary, or Digital photographs, either origi- unscheduled, perform periodic inspec- nating in digital form (‘‘born-digital’’) tions, using sampling methods or more or scanned from photographic prints, comprehensive verification systems slides, and negatives, are subject to the (e.g., checksum programs), to evaluate provisions of this part and the require- image file stability, documentation ments of 36 CFR part 1236, and NARA quality, and finding aid reliability. guidance for transfer of digital photo- Agencies must also establish proce- graphs located on the following NARA dures for refreshing digital data (re- Web page—http://www.archives.gov/ copying) and file migration, especially records-mgmt/initiatives/digital-photo- for images and databases retained for records.html. In managing digital photo- five years or more. graphs, agency and contractor per- (f) Designate a record set of images sonnel must: that is maintained separately from (a) Schedule digital photographs and other versions. Record sets of perma- related databases as soon as possible nent or unscheduled images that have for the minimum time needed for agen- already been compressed once (e.g., cy business and transfer the records compressed TIFF or first-generation promptly according to the disposition JPEG) must not be subjected to further instructions on their records schedule. changes in image size. (b) Select image management soft- (g) Organize record images in logical ware and hardware tools that will meet series. Group permanent digital images long-term archival requirements, in- separately from temporary digital im- cluding transfer to the National Ar- ages.

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(h) Document information about dig- 40–2007 (incorporated by reference, see ital photographic images as they are § 1237.3). produced. For permanent or unsched- (3) Follow the packing and shipping uled images descriptive elements must of nitrate film as specified in Depart- include: ment of Transportation regulations (49 (1) An identification number; CFR 172.101, Hazardous materials table; (2) Information about image content; 172.504, Transportation; 173.24, Stand- (3) Identity and organizational affili- ard requirements for all packages; and ation of the photographer; 173.177, Motion picture film and X-ray (4) Existence of any copyright or film—nitrocellulose base). other potential restrictions on image (b) Agencies must inspect cellulose- use; and acetate film periodically for an acetic (5) Technical data including file for- odor, wrinkling, or the presence of mat and version, bit depth, image size, crystalline deposits on the edge or sur- camera make and model, compression face of the film that indicate deteriora- method and level, custom or generic tion. Agencies must notify the Na- color profiles (ICC/ICM profile), and, tional Archives and Records Adminis- where applicable, Exchangeable Image tration, Modern Records Program File Format (EXIF) information em- (NWM), 8601 Adelphi Road, College bedded in the header of image files by Park, MD 20740, phone number (301) certain digital cameras. 837–1738, immediately after inspection (i) Provide a unique file name to about deteriorating permanent or un- identify the digital image. scheduled audiovisual records com- (j) Develop finding aids sufficiently posed of cellulose acetate so that they detailed to ensure efficient and accu- can be copied by the agency prior to rate retrieval. Ensure that indexes, transfer of the original and duplicate caption lists, and assignment logs can film to NARA. be used to identify and chronologically cut-off block of images for transfer to PART 1238—MICROFORMS the NARA. RECORDS MANAGEMENT § 1237.30 How do agencies manage records on nitrocellulose-base and Subpart A—General cellulose-acetate base film? Sec. (a) The nitrocellulose base, a sub- 1238.1 What is the scope of this part? stance akin to gun cotton, is chemi- 1238.2 What are the authorities for part cally unstable and highly flammable. 1238? Agencies must handle nitrocellulose- 1238.3 What definitions apply to this part? base film (used in the manufacture of 1238.4 What standards are used as guidance sheet film, 35 mm motion pictures, aer- for this part? ial and still photography into the 1950s) 1238.5 What publications are incorporated as specified below: by reference? (1) Remove nitrocellulose film materials (e.g., 35mm motion picture film Subpart B—Microfilming Standards and large series of still pictures) from 1238.10 What are the format standards for records storage areas. microfilming records? (2) Notify the National Archives and 1238.12 What documentation is required for Records Administration, Modern microfilmed records? Records Program (NWM), 8601 Adelphi 1238.14 What are the microfilming require- Road, College Park, MD 20740, phone ments for permanent and unscheduled number (301) 837–1738, about the exist- records? ence of nitrocellulose film materials 1238.16 What are the microfilming require- for a determination of whether they ments for temporary records, duplicates, may be destroyed or retained after a and user copies? copy is made by the agency for transfer Subpart C—Storage, Use, and Disposition to NARA. If NARA appraises nitrate Standards for Microform Records film materials as disposable and the agency wishes to retain them, the 1238.20 How must microform records be agency must follow the standard NFPA stored?

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1238.22 What are the inspection require- able for inspection at the Office of the ments for permanent and unscheduled Federal Register. For information on microform records? the availability of this material at the 1238.24 What are NARA inspection require- Office of the Federal Register, call (202) ments for temporary microform records? 1238.26 What are the restrictions on use for 741–6030 or go to http://www.archives.gov/ permanent and unscheduled microform federallregister/ records? codeloflfederallregulations/ 1238.28 What must agencies do when sending ibrllocations.html. permanent microform records to a (b) The material incorporated by ref- records storage facility? erence is also available for inspection 1238.30 What must agencies do when trans- at NARA’s Archives Library Informa- ferring permanent microform records to the National Archives of the United tion Center (NWCCA), Room 2380, 8601 States? Adelphi Road, College Park, MD 20740– 1238.32 Do agencies need to request NARA 6001, phone number (301) 837–3415, and is approval for the disposition of all available for purchase from the sources microform and source records? listed below. If you experience dif- AUTHORITY: 44 U.S.C. chapters 29 and 33. ficulty obtaining the standards ref- erenced below, contact NARA’s Policy SOURCE: 74 FR 51014, Oct. 2, 2009, unless otherwise noted. and Planning Staff (NPOL), National Archives and Records Administration, 8601 Adelphi Road, College Park, MD Subpart A—General 20740–6001, phone number (301) 837–1850. § 1238.1 What is the scope of this part? (c) American National Standards Insti- tute (ANSI) and International Organiza- This part covers the standards and tion for Standards (ISO) standards. The procedures for using micrographic following ANSI and ISO standards are technology in the management of Fed- available from the American National eral records. Standards Institute, 25 West 43rd St., § 1238.2 What are the authorities for 4th Floor, New York, NY 10036, phone part 1238? number (212) 642–4900,or online at http:// webstore.ansi.org. The statutory authorities for this part are 44 U.S.C. chapters 29 and 33. (1) ANSI/AIIM MS1–1996 (‘‘ANSI/AIIM MS1’’), Standard Recommended Prac- § 1238.3 What definitions apply to this tice for Alphanumeric Computer-Out- part? put Microforms—Operational Practices See § 1220.18 of this subchapter for for Inspection and Quality Control, Au- definitions of terms used in part 1238. gust 8, 1996, IBR approved for § 1238.14. (2) ANSI/AIIM MS5–R1998) (‘‘ANSI/ § 1238.4 What standards are used as AIIM MS5’’), Standard for Information guidance for this part? and Image Management—Microfiche, These regulations conform with guid- December, 1998, IBR approved for ance provided in ISO15489–1:2001, part § 1238.10. 7.1 (Principles of records management (3) ANSI/AIIM MS14–1996 (‘‘ANSI/ programmes), and 9.6 (storage and han- AIIM MS14’’), Standard Recommended dling). Practice—Specifications for 16mm and 35mm Roll Microfilm, August 8, 1996, § 1238.5 What publications are incor- IBR approved for § 1238.10. porated by reference in this part? (4) ANSI/AIIM MS19–1993 (‘‘ANSI/ (a) Certain material is incorporated AIIM MS19’’), Standard Recommended by reference into this part with the ap- Practice—Identification of Microforms, proval of the Director of the Federal August 18, 1993, IBR approved for Register under 5 U.S.C. 552(a) and 1 § 1238.12. CFR part 51. To enforce any edition (5) ANSI/AIIM MS32–1996 (‘‘ANSI/ other than that specified in this sec- AIIM MS32’’), Standard Recommended tion, NARA must publish notice of Practice—Microrecording of Engineer- change in the FEDERAL REGISTER and ing Source Documents on 35mm Micro- the material must be available to the film, February 16, 1996, IBR approved public. All approved material is avail- for § 1238.10.

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(6) ANSI/AIIM MS41–1996 (‘‘ANSI/ Practice—Production, Inspection, and AIIM MS41’’), Dimensions of Unitized Quality Assurance of First-Generation, Microfilm Carriers and Apertures (Ap- Silver Microforms of Documents, June erture, Camera, Copy and Image 2, 1998, IBR approved for §§ 1238.10 and Cards), July 16, 1996, IBR approved for 1238.14. § 1238.10. (4) ANSI/ISO 3334–1991, ANSI/AIIM (7) ANSI/AIIM MS43–1998 (‘‘ANSI/ MS51–1991 (‘‘ANSI/ISO 3334, ANSI/AIIM AIIM MS43’’), Standard Recommended MS51’’), Micrographics—ISO Resolu- Practice—Operational Procedures—In- tion Test Chart No. 2—Description and spection and Quality Control of Dupli- Use, May 10, 1991, IBR approved for cate Microforms of Documents and § 1238.14. From COM), June 2, 1998, IBR approved (5) ANSI/NAPM IT2.18–1996 (‘‘ANSI/ for § 1238.14, NAPM IT2.18’’), American National (8) ANSI/AIIM MS45–1990 (‘‘ANSI/ Standard for Photography—Density AIIM MS 45’’), Recommended Practice Measurements—Part 3: Spectral Condi- for Inspection of Stored Silver-Gelatin tions, March 8, 1996, IBR approved for Microforms for Evidence of Deteriora- § 1238.14. tion, January 22, 1990, IBR approved for § 1238.22. (9) ISO 18911:2000 (‘‘ISO 18911’’), Imag- Subpart B—Microfilming Standards ing materials—Processed safety photographic films—Storage practices, First § 1238.10 What are the format standards for microfilming records? Edition, November 1, 2000, IBR approved for § 1238.20. The following formats must be used (d) Techstreet. The following stand- when microfilming records: ards are available from the standards (a) Roll film—(1) Source documents. reseller Techstreet, 3916 Ranchero The formats described in ANSI/AIIM Drive, Ann Arbor, MI 48108, phone num- MS14 (incorporated by reference, see ber (800) 699–9277, or online at § 1238.5) must be used for microfilming www.Techstreet.com. source documents on 16mm and 35mm (1) ISO 18901:2002 (‘‘ISO 18901’’), Imag- roll film. A reduction ratio no greater ing Materials—Processed silver-gelatin than 1:24 is recommended for cor- type black-and-white films—Specifica- respondence or similar typewritten tions for stability, February 15, 2002, documents. Use ANSI/AIIM MS23 (in- IBR approved for §§ 1238.10, 1238.14, and corporated by reference, see § 1238.5) for 1238.20. the appropriate reduction ratio and (2) Reserved format for meeting image quality re- (e) Document Center Inc. The fol- quirements. When microfilming on lowing are available from the stand- 35mm film for aperture card applica- ards reseller the Document Center Inc., tions, the format dimensions in ANSI/ 111 Industrial Road, Suite 9, Belmont, AIIM MS32 (incorporated by reference, CA, 94002, phone number (650) 591–7600, see § 1238.5), Table 1 must be used, and or online at http://www.document-cen- the aperture card format ‘‘D Aperture’’ ter.com. shown in ANSI/AIIM MS41 (incor- (1) ANSI/NAPM IT2.19–1994 (‘‘ANSI/ porated by reference, see § 1238.5), Fig- NAPM IT2.19), American National ure 1, must be used. The components of Standard for Photography—Density the aperture card, including the paper Measurements—Part 2: Geometric Con- and adhesive, must conform to the re- ditions for Transmission Density, Feb- quirements of ANSI/PIMA IT9.2 (incor- ruary 20, 1995, IBR approved for porated by reference, see § 1238.5). The § 1238.14. 35mm film used in the aperture card (2) ANSI/PIMA IT9.2–1998 (‘‘ANSI/ application must conform to film des- PIMA IT9.2’’), Photographic Processed ignated as LE 500 in ISO 18901 (incor- Films, Plates, and Papers-Filing Enclo- porated by reference, see § 1238.5). sures and Storage Containers, April 15, (2) COM. Microfilm created using 1998, IBR approved for §§ 1238.10 and computer output microfilm (COM) 1238.20. technology must use the simplex mode (3) ANSI/AIIM MS 23–1998 (‘‘ANSI/ described in ANSI/AIIM MS14 (incor- AIIM MS23’’), Standard Recommended porated by reference, see § 1238.5) at an

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effective ratio of 1:24 or 1:48 depending (4) The name of the agency and sub- upon the application. organization, the inclusive dates, (b) Microfiche. When creating micro- names, or other data identifying the fiche, either by microfilming source records to be included on a unit of documents or using COM technology, microform. the formats and reduction ratios pre- (c) Add an identification target show- scribed in ANSI/AIIM MS5 (incor- ing the date of microfilming. When porated by reference, see § 1238.5) must necessary to give the microform copy be used as specified for the size and legal standing, the target must also quality of the documents being filmed. identify the person who authorized the Use ANSI/AIIM MS23 (incorporated by microfilming. Use ANSI/AIIM MS19 (in- reference, see § 1238.5) for determining corporated by reference, see § 1238.5) for the appropriate reduction ratio and standards for identification targets. format for meeting the image quality requirements. § 1238.14 What are the microfilming requirements for permanent and un- (c) Index placement—(1) Source docu- scheduled records? ments. When microfilming source documents, place indexes, registers, or (a) Agencies must apply the stand- other finding aids, if microfilmed, ei- ards in this section when microfilming: ther in the first frames of the first roll (1) Permanent paper records where of film or in the last frames of the last the original paper record will be de- roll of film of a series. For microfiche, stroyed (only after authorization from place the indexes in the last frames of NARA); the last microfiche or microfilm jacket (2) Unscheduled paper records where of a series. the original paper record will be de- (2) COM. Place indexes on COM fol- stroyed (only after authorization from lowing the data on a roll of film, in the NARA); and last frames of a single microfiche, or in (3) Permanent and unscheduled origi- the last frames of the last fiche in a se- nal microform records (no paper origi- ries. Other locations for indexes may nals) produced by automation, such as be used only if dictated by special sys- COM. tem constraints. (b) Agencies must use polyester- based silver gelatin type film that con- § 1238.12 What documentation is re- forms to ISO 18901 (incorporated by ref- quired for microfilmed records? erence, see § 1238.5) for LE 500 film in all applications. Agencies must ensure that the (c) Agencies must process microforms capture all information microforms so that the residual contained on the source documents and thiosulfate ion concentration will not that they can be used for the purposes exceed 0.014 grams per square meter in the source documents served. accordance with ISO 18901 (incor- Microform records must be labeled and porated by reference, see § 1238.5) and organized to support easy retrieval and use the processing procedures in ANSI/ use. Agencies must: AIIM MS1 and ANSI/AIIM MS23 (both (a) Arrange, describe, and index the incorporated by reference, see § 1238.5). filmed records to permit retrieval of (d) Agencies must use the following any particular document or component standards for quality: of the records. (1) Resolution—(i) Source documents. (b) Title each microform roll or fiche Agencies must determine minimum with a titling target or header. For resolution on microforms of source fiche, place the titling information in documents using the method in the the first frame if the information will Quality Index Method for determining not fit on the header. At a minimum, resolution and anticipated losses when titling information must include: duplicating, as described in ANSI/AIIM (1) The title of the records; MS23 and ANSI/AIIM MS43 (both incor- (2) The number or identifier for each porated by reference, see § 1238.5). unit of microform; Agencies must perform resolution tests (3) The security classification, if any; using an ANSI/ISO 3334 Resolution Test and Chart (incorporated by reference, see

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§ 1238.5) or a commercially available density on microforms appropriate to certifiable target manufactured to the type of documents being filmed. comply with this standard, and read Agencies must use the procedure for the patterns following the instructions density measurement described in of ANSI/ISO 3334. Agencies must use ANSI/AIIM MS23 (incorporated by ref- the smallest character used to display erence, see § 1238.5). The densitometer information to determine the height must meet with ANSI/NAPM IT2.18 (in- used in the Quality Index formula. corporated by reference, see § 1238.5) for Agencies must use a Quality Index of spectral conditions and ANSI/NAPM five at the third generation level. IT2.19 (incorporated by reference, see (ii) COM. COM must meet the re- § 1238.5) for geometric conditions for quirements of ANSI/AIIM MS1 (incorporated by reference, see § 1238.5). transmission density. (2) Background density of images. (i) Recommended visual diffuse Agencies must use the background ISO transmission background densities for standard visual diffuse transmission images of documents are as follows:

Background Classification Description of document density

Group 1 ...... High-quality, high contrast printed book, periodicals, and black typing ...... 1.3–1.5 Group 2 ...... Fine-line originals, black opaque pencil writing, and documents with small high contrast 1.15–1.4 printing. Group 3 ...... Pencil and ink drawings, faded printing, and very small printing, such as footnotes at 1.0–1.2 the bottom of a printed page. Group 4 ...... Low-contrast manuscripts and drawing, graph paper with pale, fine-colored lines; let- 0.8–1.0 ters typed with a worn ribbon; and poorly printed, faint documents. Group 5 ...... Poor-contrast documents (special exception)...... 0.7–0.85

(ii) Recommended visual diffuse transmission densities for computer generated images are as follows:

Minimum Film type Process Density measurement method Min. Dmax 1 Max. Dmin 1 density difference

Silver gelatin ...... Conventional ...... Printing or diffuse ...... 0.75 0.15 0.60 Silver gelatin ...... Full reversal ...... Printing ...... 1.50 0.20 1.30 1 Character or line density, measured with a microdensitometer or by comparing the microfilm under a microscope with an image of a known density.

(3) Base plus fog density of microfilms. § 1238.16 What are the microfilming re- The base plus fog density of unexposed, quirements for temporary records, processed microfilms must not exceed duplicates, and user copies? 0.10. When a tinted base film is used, (a) Temporary records with a retention the density will be increased. The dif- period over 99 years. Agencies must use ference must be added to the values the microfilming requirements in given in the tables in paragraph (d)(2) § 1238.14. of this section. (b) Temporary records to be kept for less (4) Line or stroke width. Due to optical than 99 years, duplicates, and user copies. limitations in most micrographic sys- NARA does not require the use of spe- tems, microfilm images of thin lines cific standards for these microforms. appearing in the source documents will Agencies may select a film stock that tend to fill in as a function of their meets their needs and ensures the pres- width and density. Therefore, as the re- ervation of the microforms for their duction ratio of a given system is in- full retention period. NARA rec- creased, reduce the background density ommends that agencies consult appro- as needed to ensure that the copies will priate standards, available as noted in be legible. § 1238.3, and manufacturer’s instructions for processing production, and

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maintenance of microform to ensure lists each microform series or publica- that the images are accessible and usa- tion by production date, producer, ble for the entire retention period of processor, format, and results of pre- the records. vious inspections. (d) The inspection must include the Subpart C—Storage, Use, and following elements: Disposition of Microform Records (1) An inspection for aging blemishes following ANSI/AIIM MS45 (incor- § 1238.20 How must microform records porated by reference, see § 1238.5); be stored? (2) A rereading of resolution targets; (a) Permanent and unscheduled (3) A remeasurement of density; and records. Agencies must store permanent (4) A certification of the environ- and unscheduled microform records mental conditions under which the under the extended term storage condi- microforms are stored, as specified in tions specified in ISO 18911 and ANSI/ § 1238.20(a). PIMA IT9.2 (both incorporated by ref- (e) The agency must prepare an in- erence, see § 1238.5), except that the rel- spection report, and send a copy to ative humidity of the storage area NARA in accordance with § 1238.28(c). must be a constant 35 percent RH, plus The inspection report must contain: or minus 5 percent. Non-silver copies of (1) A summary of the inspection find- microforms must be maintained in a ings, including: different storage area than are silver (i) A list of batches by year that in- gelatin originals or duplicate copies). cludes the identification numbers of (b) Temporary records. Agencies must microfilm rolls and microfiche in each store temporary microform records batch; under conditions that will ensure their (ii) The quantity of microforms in- preservation for their authorized reten- spected; tion period. NARA suggests that agen- (iii) An assessment of the overall cies may consult Life Expectance (LE) condition of the microforms; guidelines in ISO 18901 (incorporated by (iv) A summary of any defects discov- reference, see § 1238.5). ered, e.g., redox blemishes or base de- § 1238.22 What are the inspection re- formation; and quirements for permanent and un- (v) A summary of corrective actions scheduled microform records? taken. (a) Agencies must inspect, or arrange (2) A detailed inspection log created for a contractor or NARA to inspect during the inspection that contains the master microform of permanent or un- following information: scheduled records following the inspec- (i) A complete description of all tion requirements in paragraph (b) of records inspected (title; roll or fiche this section. number or other unique identifier for (b) The microforms listed in para- each unit of film inspected; security graph (a) of this section must be in- classification, if any; and inclusive spected initially in accordance with dates, names, or other data identifying ANSI/AIIM MS45 (incorporated by ref- the records on the unit of film); erence, see § 1238.5). All microforms (ii) The date of inspection; must be inspected when they are two (iii) The elements of inspection (see years old. After the initial two-year in- paragraph (d) of this section); spection, unless there is a catastrophic (iv) Any defects uncovered; and event, the microforms must be in- (v) The corrective action taken. spected as follows until they are trans- (f) If an inspection finds that a mas- ferred to NARA: ter microform is deteriorating, the (1) For microfilm produced after 1990, agency must make a silver duplicate in inspect the microfilm every 5 years. accordance with § 1238.14 to replace the (2) For microfilm produced prior to deteriorating master. The duplicate 1990, inspect the microfilm every 2 microform must meet inspection re- years. quirements (see § 1238.22) before it may (c) To facilitate inspection, the agen- be transferred to a record center or cy must maintain an inventory that NARA.

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(g) Inspections must be conducted in (1) Name of the agency and program environmentally controlled areas in component; accordance with ANSI/AIIM MS45 (in- (2) The title of the records and the corporated by reference, see § 1238.5). media and format used; (3) The number or identifier for each § 1238.24 What are NARA inspection unit of microform; requirements for temporary (4) The security classification, if any; microform records? (5) The inclusive dates, names, or NARA recommends, but does not re- other data identifying the records to be quire, that agencies use the inspection included on a unit of microform; procedures described in § 1238.22(a). (6) Finding aids that are not contained in the microform; and § 1238.26 What are the restrictions on (7) The inspection log forms and in- use for permanent and unscheduled spection reports required by § 1238.22(e). microform records? (d) Agencies may transfer permanent (a) Agencies must not use the silver microform records to a records storage gelatin master microform or duplicate facility meeting the storage require- silver gelatin microform of permanent ments in § 1232.14(a) (see § 1233.10 of this or unscheduled records created in ac- subchapter for NARA Federal Records cordance with § 1238.14 of this part for Centers) of this subchapter only after reference purposes. Agencies must en- the first inspection or with certifi- sure that the master microform re- cation that the microforms will be in- mains clean and undamaged during the spected by the agency, a contractor, or process of making a duplicating mas- a NARA Federal Records Center (on a ter. reimbursable basis) when the (b) Agencies must use duplicates for: microforms become 2 years old. (1) Reference; § 1238.30 What must agencies do when (2) Further duplication on a recur- transferring permanent microform ring basis; records to the National Archives of (3) Large-scale duplication; and the United States? (4) Distribution of records on Agencies must: microform. (a) Follow the procedures in part 1235 (c) Agencies retaining the original of this subchapter and the additional record in accordance with an approved requirements in this section. records disposition schedule may apply (b) If the records are not in a NARA agency standards for the use of Federal Records Center, submit the in- microform records. formation specified in § 1232.14(c) of this subchapter. § 1238.28 What must agencies do when (c) Transfer the silver gelatin origi- sending permanent microform records to a records storage facil- nal (or duplicate silver gelatin ity? microform created in accordance with § 1238.14) plus one microform copy. Agencies must: (d) Ensure that the inspections of the (a) Follow the procedures in part 1232 microforms are up-to-date. NARA will of this chapter and the additional re- not accession permanent microform quirements in this section. records until the first inspection has (b) Package non-silver copies sepa- been performed (when the microforms rately from the silver gelatin original are 2 years old). or silver duplicate microform copy and (e) Package non-silver copies sepa- clearly label them as non-silver copies. rately from the silver gelatin original (c) Include the following information or silver duplicate microform copy and on the transmittal (SF 135 for NARA clearly label them as non-silver copies. Federal Records Centers), or in an at- tachment to the transmittal. For § 1238.32 Do agencies need to request records sent to an agency records cen- NARA approval for the disposition ter or commercial records storage fa- of all microform and source cility, submit this information to records? NARA as part of the documentation re- (a) Permanent or unscheduled records. quired by § 1232.14 of this subchapter: Agencies must schedule both source

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documents (originals) and microforms. Subpart C—Inspections NARA must approve the schedule, SF 115, Request for Records Disposition 1239.20 When will NARA undertake an in- Authority, in accordance with part 1225 spection? 1239.22 How does NARA notify the agency of of this subchapter before any records, the inspection? including source documents, may be 1239.24 How does NARA conduct an inspec- destroyed. tion? (1) Agencies that comply with the 1239.26 What are an agency’s follow up obli- standards in § 1238.14 must include on gations for an inspection report? the SF 115 the following certification: AUTHORITY: 44 U.S.C. 2904 and 2906. ‘‘This certifies that the records described on this form were (or will be) SOURCE: 74 FR 51014, Oct. 2, 2009, unless microfilmed in accordance with the otherwise noted. standards set forth in 36 CFR part 1238.’’ Subpart A—General (2) Agencies using microfilming methods, materials, and procedures § 1239.1 What is the scope of this part? that do not meet the standards in NARA’s statutory authorities include § 1238.14(a) must include on the SF 115 a assisting agencies in carrying out their description of the system and stand- records management responsibilities ards used. and, when necessary, inspecting agency (3) When an agency intends to retain programs and reporting to Congress on the silver original microforms of per- those inspections. Part 1239 identifies manent records and destroy the origi- the types of records management guid- nal records, the agency must certify in ance and program assistance NARA writing on the SF 115 that the provides to agencies under its 44 U.S.C. microform will be stored in compliance chapter 29 mandate; the conditions with the standards of § 1238.20 and in- under which NARA will invoke its inspected as required by § 1238.22. spection authority, also under chapter (b) Temporary records. Agencies do not 29; and the requirements for agencies need to obtain additional NARA ap- to cooperate fully in such inspections. proval when destroying scheduled temporary records that have been micro- § 1239.2 What are the authorities for filmed. The same approved retention part 1239? period for temporary records is applied The authorities for this part are 44 to microform copies of these records. U.S.C. 2904 and 2906. The original records can be destroyed once microfilm is verified, unless legal § 1239.3 What definitions apply to this or other requirements prevent their part? early destruction. (a) See § 1220.18 of this subchapter for definitions of terms used in part 1239. PART 1239—PROGRAM (b) As used in part 1239— ASSISTANCE AND INSPECTIONS Inspection means a formal review and report by NARA under 44 U.S.C. 2904(c) Subpart A—General and 2906(a) of an agency’s recordkeeping processes that focus on signifi- Sec. cant records management problems af- 1239.1 What is the scope of this part? fecting records at risk that meet one or 1239.2 What are the authorities for part 1239? more of the following criteria: 1239.3 What definitions apply to this part? (1) Have a direct and high impact on 1239.4 What standards are used as guidance legal rights or government account- for this part? ability; (2) Are the subject of high profile liti- Subpart B—Program Assistance gation, Congressional attention, or widespread media coverage; 1239.10 What program assistance does NARA provide? (3) Have high research potential; or 1239.12 Whom may agencies contact to re- (4) Are permanent records with a quest assistance? large volume, regardless of format.

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§ 1239.4 What standards are used as Congressional inquiries, allegations of guidance for this part? unauthorized destruction, reports These regulations conform with guid- issued by the GAO or an agency’s In- ance provided in ISO 15489–1:2001. Para- spector General, or observations by graphs 7.1, Principles of records man- NARA staff members. Inspections will agement programmes, and 10, Moni- be undertaken when other NARA pro- toring and auditing, apply to this part. gram assistance efforts (see § 1239.10) have failed to mitigate situations where there is a high risk of loss of sig- Subpart B—Program Assistance nificant records, or when NARA agrees § 1239.10 What program assistance to a request from the agency head that does NARA provide? NARA conduct an inspection to address specific significant records manage- (a) NARA publishes handbooks, con- ment issues in the agency. NARA re- ducts workshops and other training ports to Congress and the Office of sessions, and furnishes information and Management and Budget on inspec- guidance to Federal agencies about the tions in accordance with 44 U.S.C. 2904. creation of records, their maintenance and use, and their disposition. NARA § 1239.22 How does NARA notify the also may conduct a targeted assistance agency of the inspection? project in cooperation with an agency to address a serious records manage- (a) Once NARA identifies the need to ment issue in the agency. conduct an agency inspection, the Ar- (b) Information on NARA handbooks chivist of the United States sends a let- and guidance is available at http:// ter to the head of the agency. If the www.archives.gov/records-mgmt/. agency being inspected is a component (c) Information on NARA training is of a cabinet department, the letter will available at http://www.archives.gov/ be addressed to the head of the compo- records-mgmt/training/. nent, with a copy sent to the head of the department. NARA will also send § 1239.12 Whom may agencies contact copies to the agency’s records officer. to request program assistance? The letter will include: Agencies in the Washington, DC, area (1) Notification that NARA intends desiring information or assistance re- to conduct an inspection, the records lated to any of the areas covered by that will be inspected, and the issues to subchapter B may contact the National be addressed; Archives and Records Administration, (2) A beginning date for the inspec- Life Cycle Management Division tion that is no more than 30 days after (NWML), 8601 Adelphi Rd., College the date of the letter; and Park, MD 20740–6001, phone number 301– (3) A request that the agency appoint 837–1738. Agency field organizations a point of contact who will assist may contact the appropriate NARA Re- NARA in conducting the inspection. gional Administrator regarding records (b) If the agency does not respond to management assistance, including for NARA’s notification letter, NARA will records in or scheduled for transfer to use its statutory authority under 44 the records center or the archival oper- U.S.C. 2904(c)(8) to report the matter to ations within the region. the agency’s congressional oversight committee and to the Office of Man- Subpart C—Inspections agement and Budget. § 1239.20 When will NARA undertake § 1239.24 How does NARA conduct an an inspection? inspection? NARA may undertake an inspection (a) The NARA inspection team leader when an agency fails to address specific will coordinate with the agency point records management problems involv- of contact to arrange an initial meeting high risk to significant records. ing with the agency. The initial meet- Problems may be identified through a ing will address such matters as the pa- risk assessment or through other rameters of the inspection, any surveys means, such as reports in the media, or other inspection instruments, the

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offices to be visited, and the timing of final report and issue the report to the site visits. head of the agency within 45 days. (b) After the inspection is complete, NARA will prepare a draft inspection § 1239.26 What are an agency’s follow report and transmit it to the agency up obligations for an inspection re- within 45 calendar days of the last site port? visit. The report will include: The agency must submit a plan of (1) An executive summary; corrective action that specifies how the (2) Background and purpose of inspec- agency will address each inspection re- tion; port recommendation, including a (3) Inspection methodology, includ- timeline for completion, and proposed ing offices visited; progress reporting dates. The agency (4) Findings; must submit the plan of corrective ac- (5) Corrective actions needed and tion to NARA within 60 days of trans- other recommendations; and mission of the final report. NARA may (6) Any necessary appendixes, such as summaries of each site visit or the intake up to 60 days to review and com- spection instrument. ment on the plan. Once the plan is (c) The draft report is sent to the agreed upon by both sides, agencies agency for review, with a response must submit progress reports to NARA deadline of 45 days. until all actions are completed. (d) NARA will incorporate any necessary corrections or revisions in the PARTS 1240–1249 [RESERVED]

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