Friday, October 2, 2009

Part II

National Archives and Records Administration 36 CFR Chapter XII, Subchapter B Federal Records Management; Revision; Final Rule

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NATIONAL ARCHIVES AND RECORDS Specific issues raised in the comments between record/nonrecord status of ADMINISTRATION and how we address them in this final documentary materials and expressed a rule follow. view that virtually all documentary 36 CFR Chapter XII, Subchapter B materials meet the definition of a Use of ISO 15489 [FDMS Docket NARA–08–0004] Federal record and need to be managed Several comments addressed use of using records management principles. RIN 3095–AB16 ISO 15489–1:2001, Records While we have clarified some sections Management—Part 1: General in the in response to specific comments, we Federal Records Management; regulation. Most supported its use and note that 44 U.S.C. 3301 defines what is Revision several suggested additional clauses to a Federal record and 44 U.S.C. 3101 reference in specific parts, which we assigns to Federal agencies the AGENCY: National Archives and Records have adopted. The former agency Administration (NARA). responsibility to determine what records records management official must be made and preserved for ACTION: Final rule. recommended a greater emphasis in the adequate and proper documentation. regulations on the ISO 15489–1 SUMMARY: As part of its initiative to concepts of risk and business need. We Definition of Terms in § 1220.18 redesign Federal records management, believe that these concepts are implicit NARA is revising and reorganizing the Several comments concerned the in the regulations. NARA guidance and definitions, or omissions of definitions, existing regulations on Federal records training emphasize how to apply these management to update records from § 1220.18, which provides concepts. definitions of terms used throughout management strategies and techniques ARMA International advised against and to make the regulations easier to subchapter B. citing the standard because it is In response to one comment on the read, understand, and use. This rule undergoing transformation into an ISO will affect Federal agencies. definition of Adequate and proper Management System Standard for documentation, we note that the DATES: This rule is effective on Records Management and has not been definition is unchanged from the November 2, 2009. The incorporation by adopted as an American National previous definition. reference of the publications listed in Standard in the United States. We did Two comments suggested that the the rule is approved by the Director of not accept this comment. NARA definition of Electronic records belongs the Federal Register as of November 2, guidance and training for some time has here rather than only in part 1236, 2009. emphasized the principles contained in Electronic Records Management; in FOR FURTHER INFORMATION CONTACT: ISO 15489–1. NARA is a participant response to these comments, we have Laura McCarthy at phone number 301– with ARMA in the international moved the definition to § 1220.18. standards (ISO) committee responsible 837–3023 or fax number 301–837–0319. We modified the definition of for the standard and we believe that it SUPPLEMENTARY INFORMATION: Nonrecord materials to use the term is useful to records managers. We ‘‘documentary materials’’ instead of Background recognize that when the standard is ‘‘informational materials,’’ as suggested replaced some time in the future by a On August 4, 2008, at 73 FR 45274, by one comment. new Management System Standard, the NARA published a proposed rule to One agency recommended that the regulations will have to be modified. revise and reorganize the Federal definition of Records maintenance and The records management consultant records management regulations use be restored because agencies may suggested that it wasn’t necessary to cite contained in 36 CFR Chapter XII, misinterpret the meaning of the term. the ISO standard in each part; we did Subchapter B. We received timely We have added a new definition that not adopt this comment based on the comments from 12 Federal agencies, emphasizes that the term covers responses from the agencies and four agency records officers who did not management and handling of records recognition that users frequently consult identify their comments as agency after creation or receipt and before final one or more specific Code of Federal responses, one former Federal agency disposition. Regulations (CFR) parts and not the records management professional, and One agency suggested that we use a whole subchapter, when looking for one records management consultant and simpler definition of Records specific information. practitioner. We also considered a late management provided by the Society of comment submitted by a professional Updating Agency Guidance To Reflect American Archivists. We have retained organization. Subchapter B Restructuring the statutory definition from 44 U.S.C. Discussion of Comments Two comments noted that while the 2901. We modified the introduction of the General Overview revisions were helpful and much needed, the renumbering and definition of Records schedule or Two agencies concurred without reorganization of the regulations will schedule to clarify that the definition further comment. Several agencies and require agencies that reference specific could mean any of the three sub-items, records officers offered their support for CFR sections in their internal policies to since this was not clear to a couple of most of the revisions, noting that the update their citations. We have added a reviewers. We did not adopt a new regulations are easier to use and Derivation Table as an appendix to this recommendation that we add ‘‘or understand, while also addressing preamble to assist agencies in equivalent’’ to the first sub-item to allow specific issues that caused them performing that update. We note that for future changes in process using the concern. The comments from the former agencies should review their agency Electronic Records Archives; at this agency records management official internal policies, in any case, to time we do not anticipate such a need. recommended that the regulation be incorporate changes in the regulations. Finally, we did not move the ‘‘fundamentally rethought in light of the definition of Vital records from § 1223.2, born-digital, end-user environment in Record/Nonrecord Confusion as suggested by one comment, because which agencies operate today’’ and One commenter advised that NARA the term is used primarily in part 1223 offered suggestions for doing so. focused too strongly on the distinction and the few other references in other

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sections clearly associate the term with § 1220.18 as recorded information, we ‘‘documentary materials’’ is the correct part 1223. accepted a comment to drop wording. ‘‘documentary materials’’ from the title A former agency records management Other General Comments of the section. We also struck the official asked a series of questions about Two comments suggested that NARA reference to ‘‘recorded information’’ in application of the discussion, but did provide a section in part 1220 that lists the text of the section. not offer suggestions for change. He also the NARA offices and common Discussion of the comments on the asked whether information that an acronyms referenced throughout the definitions in § 1220.18 were addressed agency does not deem ‘‘appropriate for CFR Subchapter B. We agree and have earlier in this SUPPLEMENTARY preservation’’ is a temporary added § 1220.20, What NARA acronyms INFORMATION. (disposable) record or nonrecord are used in this subchapter? Three comments were received on material. The discussion of the meaning One comment applauded the § 1220.32. One records officer asked for of ‘‘appropriate for preservation’’ makes reference to industry (i.e., voluntary definitions of the terms ‘‘authentic,’’ the point that documentary material that consensus) standards that are relevant to ‘‘reliable,’’ and ‘‘useable’’ when applied the agency believes should be filed, records management, but expressed to records; paragraphs (a) through (f) stored or otherwise systematically concern over the expense to agencies of explain how agencies create and maintained is a record even if the purchasing these standards. We note maintain such records. In response to an materials are not covered by the current that this final rule specifies in each part agency comment, we have deleted from filing or maintenance procedures. that incorporates a standard by § 1220.32(a) a requirement for Three agencies expressed serious reference where the standard may be concern with the change in the specifying the form or format of each inspected or purchased. We also note specification in § 1222.12(c) of record, which is not necessary with that most of the standards were also conditions for determining that working media-neutral records scheduling. In incorporated by reference in the files are records. The previous response to another agency comment, previous NARA regulations. regulations specified that both of two we amended paragraph (b) of this One comment asked what reports, if conditions must be met; the proposed section to incorporate a requirement for any, NARA must make to Congress and rule changed this to an ‘‘or.’’ As two of ensuring the integrity of records. the Office of Management and Budget the agencies pointed out, the revision (OMB), since the revised regulation does One agency asked for more guidance would require retention as a record of not include the information contained on § 1220.34(c), which requires agencies even non-substantive editorial changes in the previous § 1220.16. NARA makes to issue a records management directive, to preliminary drafts made by anyone the reports specified under 44 U.S.C. to disseminate it throughout the agency, other than the creator. In response to 2904(c)(8) as part of our Performance and to send a copy to NARA. This is an these comments, this final rule restores and Accountability Act and other existing requirement; NARA expects to the requirement that both conditions be special reports. In response to a receive the agency wide directive. met. comment from another individual, we Another agency recommended that we One agency suggested that we did add a reference in § 1239.20 to the specify in § 1220.34(j) that agencies reference the § 1220.18 definition of reporting that NARA will make to must audit their records management record in § 1222.12(b). We do not Congress and OMB on the results of program to keep it up to date. We believe this is needed as the reference inspections. accepted this comment, modifying the is contained in § 1222.12(a). We did not adopt one comment that proposed wording slightly. Another agency felt the proposed suggested we include a section that Comments on Part 1222—Creation and change to the second sentence in provides minimum qualifications for Maintenance of Federal Records § 1222.12(d) relating to multiple copies records officers and a process that was confusing. We have restored the would promote direct communication We received several comments on the wording used in the previous between the designated records officer terms explained in § 1222.10(b). In regulation. and the head of the agency. We believe response to two comments that the One agency commended NARA for that these issues can and should be discussion of ‘‘documentary materials’’ the clarity of the guidance on addressed outside the regulatory did not match our earlier definition, we identification and management of process. We note, for example, that revised the wording to state that it has nonrecord material in § 1222.14, while a NARA has established a records the meaning provided in the definition former agency records professional management training certification in § 1220.18. One comment on ‘‘made’’ recommended removing the reference to program and meets regularly with senior asked that we define ‘‘official duties’’ to the volume of nonrecord materials agency officials on records management distinguish them from other types of because in his view, this cannot be issues, emphasizing the role of the duties that would not result in the proven and it leads people to suspect records officer. creation of records; we do not think that that much of their documentary such a definition is needed. materials are nonrecord. We did not Comments on Part 1220—Federal We also received two comments on remove the reference. However, we Records; General ‘‘preserved.’’ One agency suggested that agreed with this commenter and another One comment suggested revising the we clarify the discussion by indicating agency comment that the examples of wording of § 1220.12(c) to emphasize that it covers documentary materials in extra copies of documents that the appraisal process and any medium; we agree and have made (§ 1222.12(b)(1)–(4)) should be removed Archivist’s determination involve both the change. One agency asked if the because the examples were confusing temporary and permanent records. We phrase ‘‘maintaining documentary and difficult to interpret; we have have clarified the paragraph, although materials’’ should be stated as removed that item from § 1222.12. we did not use the suggested wording. ‘‘maintaining record material’’; since One comment asked that we The title and text of § 1220.16 referred this paragraph is addressing only one of emphasize in § 1222.16 that nonrecord to both recorded information and the criteria for determining that materials be organized, accessible and documentary materials. Since documentary material meets the usable (the same as records) for as long ‘‘documentary materials’’ are defined in definition of Federal record, as needed. We do not agree; if the

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agency has documentary materials that private papers and Federal records documentation of e-mail, phone calls, must be organized and available for use should always be separate and clearly etc. We believe that § 1222.26, when in conducting agency business, it is marked. We did not delete this taken in conjunction with § 1222.28, likely that the materials meet the provision, which has been contained in provides this requirement. Section definition of Federal record. Another the NARA regulation on personal papers 1222.26 is focused on maintenance comment suggested that we not use the for a number of years. Agencies have the requirements. The commenter also term nonrecord materials but refer to discretion to require the retention of the suggested that § 1222.28(e) should focus them as documentary materials that can original document containing the on determining and standardizing the generally be purged; we do not find this private matters as the agency record or retention of working files for specific suggestion helpful. to do as § 1220.20(b)(2) allows. types of transactions rather than A third comment asked for One agency suggested adding three determining which working files are clarification on what needs to be done additional types of records to the list in records; we did not adopt this to separate electronic records and non- § 1222.22 that must be created and suggestion. We agree with his premise records. We note that § 1222.16(b)(2) maintained. Two items—documenting that working files necessary to conduct requires that electronic non-record the National experience and the work of the agency should meet the materials be readily identified and contributing substantially to scientific definition of a record; this paragraph is segregable from records; agencies have knowledge—are criteria that NARA uses requiring agencies to identify what discretion to specify how that should be in appraising records, and not separate working files meet the conditions in accomplished in their working categories of adequate documentation of § 1222.12(c) to be a record. Determining environment. The proposed wording of agency business. The third item— and standardizing the retention of § 1222.20(b)(2) limited its applicability documenting data on the observation of working files for specific types of to electronic non-record materials natural phenomena—is specific to a transactions should be done in maintained in an electronic repository. subset of agencies and covered, we conjunction with the scheduling process In the course of reviewing this believe, in paragraph (a) on prescribed in part 1225. comment, we determined that it should documenting the persons, places, things Two agencies and one individual be applicable to all electronic non- or matters dealt with by the agency. commented on § 1222.32. One agency record materials. An individual asked for clarification stated that the language is clear and One agency stated that § 1222.18(d) of a number of items, including the unambiguous, while the other agency might be confusing because agencies relationship of §§ 1222.22 and 1222.24 asked for additional stronger language have specific program requirements for to the requirement in § 1220.30 to in several areas, including regarding telework and information document essential transactions, when contractor records belong to the dissemination. The comment suggested whether there are agency activities that government, the authority of record that NARA should elaborate with aren’t included in the list in § 1222.22, managers to determine whether contract instructions for following agency and whether all employees are agency records belong to the government, and program requirements. We did not officials. He suggested that agencies be that contractors must follow agency adopt this comment. Agency records required to identify essential records management requirements. We management requirements relating to transactions and that NARA recommend believe that these issues are clearly telework and authorized information that agencies take a risk management addressed in §§ 1222.32(b), (a)(3), and dissemination should be addressed in approach to determine what is needed (a)(2), respectively. The agency also the agency controls over creation, to ensure adequate and proper asked for a statement that all records maintenance and use of records in the documentation. Section 1222.22 created or stored on government conduct of current business (see specifies in broad terms the types of networks are the property of the §§ 1220.30(c)(1) and 1220.32). records that agencies must create and government and to have a sample list of One agency recommended that the maintain in order to carry out their the types of contractor records the regulation retain the examples of statutory responsibility (44 U.S.C. 3101, government has no interest in. We also personal files rather than direct users to as cited in § 1220.30) to ‘‘make and did not adopt these comments. As we NARA publications that provide more preserve adequate and proper noted previously with the comment on detailed discussion. The agency documentation of the organization, telework policy, policies relating to suggested that employees needed to see functions, policies, decisions, storing records on government networks this in the regulation itself. We did not procedures and essential transactions of should be addressed in the agency adopt this comment. The examples are the agency * * *.’’ We believe that the controls over creation, maintenance and not regulatory, and the NARA wording of § 1222.22 is sufficient to use of records in the conduct of current publication Documenting Your Public identify essential transactions as well as business (see §§ 1220.30(c)(1) and Service has been used by a number of the other categories of information 1220.32). There is no single list of agencies to brief their personnel on the specified in 44 U.S.C. 3101. Section examples of contractor records that issue. We also note that the regulation 1222.24 states how agencies are to carry would be applicable to all contracts. contains the definition of personal files out the responsibilities in § 1220.30. The individual recommended that we in § 1220.18, which is referenced in One agency recommended modify the language of § 1222.32(a)(4) to § 1220.20(a). incorporating language from read ‘‘* * * sufficient technical Another agency expressed concern § 1224.10(d) relating to addressing documentation to permit understanding with § 1220.20(b)(2), which allows records management requirements and use of the records and data,’’ agencies to redact information about during the planning stages of an because ‘‘use’’ alone could be very private matters on a copy of the information technology system in narrowly interpreted. We have made document and treat that copy as the §§ 1222.24 or 1222.26, or both. We did this change. agency record if it was improperly not adopt this comment. The provision One agency commented that mixed with agency business in a is explicitly addressed in § 1220.34(d) § 1222.34(d) should include a received document that is a Federal and (e) and § 1236.12. requirement to ensure that electronic record. The agency stated that redacting One commenter suggested adding a records are migrated to future the original affects its authenticity; requirement to § 1222.28 to create technology to ensure their readability.

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We did not adopt this comment. § 1220.34; we did not adopt this One agency expressed concern with Paragraph (b) of this section requires suggestion. We note that § 1224.10(e) the requirement to schedule agency Web agencies to maintain electronic records and § 1220.34(f) require agencies to sites in § 1225.22(h), noting that the in accordance with 36 CFR part 1236; provide training and guidance to all requirement creates a burden on NARA one of the requirements in part 1236 employees on records management and agencies. We note that this addresses migration. In response to a responsibilities. Another agency asked requirement is consistent with both the comment from an individual, we have that § 1224.10(b) state the time frame for Managing Web Records guidance issued modified § 1222.34(f) to reference dissemination of records schedules and in January 2005 and the NARA Bulletin § 1222.16, which calls for electronic General Records Schedules (GRS), 2006–02, which implemented section nonrecord material to be segregable noting that § 1226.12(a) gives a time 207(e) of the E-Government Act. from electronic records. limit of six months. We have added a Another agency asked how paragraph reference to that section. (h)(4) differs from the guidelines in GRS Comments on Part 1223—Managing 20 regarding the applicability of GRS to Vital Records Comments on Part 1225—Scheduling electronic records and when an SF 115 Records One comment noted that this part must be submitted. Paragraph (h)(4) is makes no reference to records safety We received comments from three the NARA policy. The revised GRS 20 procedures that should be followed in agencies and an editorial comment from is the specific disposition authority for the day-to-day operations of an agency. an individual on § 1225.12. One agency agencies to use for specific types of Such procedures are addressed in other asked where additional NARA guidance records described in the individual GRS parts; part 1223 concerns the agency could be found; we added the URL for items. vital records program that is part of the the NARA Web site. One agency asked Two agencies raised questions about agency’s continuity of operations for additional step by step guidance for the application of the notification program (COOP). Two agencies noted scheduling and how GRS 20, Electronic requirement in § 1225.24(a) for that Federal Preparedness Circular Records, applies; such guidance is permanent records. One agency asked (FPC) 65 has been superseded by available in the Disposition of Federal when the agency is required to notify Federal Continuity Directives (FCD) 1 Records handbook and other NARA NARA if only some electronic case files and 2 in February 2008. We have guidance referenced in the introductory are permanent. The requirement is to updated the references in §§ 1223.1 and paragraph. A third agency asked for notify NARA in writing that the series 1223.14. clarification of the phrase ‘‘flexible is now maintained electronically; we One agency suggested adding to the retention period’’ in paragraph (d); the have clarified the wording. Another definition of legal and financial rights details of this are provided in the NARA agency interpreted the requirement to records in § 1223.2 such examples as guidance described in the introductory notify NARA within 90 days of when an memorandums of understanding and paragraph to the section. This agency electronic recordkeeping system for host tenant agreements. We believe that also asked for clarification of the permanent records becomes operational the additional examples are not wording for media neutral schedules; in as being contrary to the guidance in required. response to that comment we have made NARA Bulletin 2006–02, which requires One agency noted confusion with the a minor edit. We also made a minor edit agencies to schedule previously statement in § 1223.16 that the to paragraph (i) in response to an unscheduled electronic systems and information content determines which individual’s comment. records by October 1, 2009. We have records series and electronic systems are We made two changes to clarified with the agency that if the vital records, and that only the most § 1225.14(b)(2) in response to agency conditions in paragraph (a)(1) apply, the recent and complete sources of the comments. To reflect that new agency may notify NARA in accordance information are vital records. Vital schedules are media neutral, unless the with that paragraph rather than submit records are a subset of the agency’s agency proposes otherwise, we modified a new SF 115. records that are needed for the agency § 1225.14(b)(2)(ii) to read ‘‘Physical An agency records officer suggested to be able to operate in an emergency or type, if appropriate;’’ and clarified what that we explicitly state in § 1225.26 that under COOP conditions. we meant by arrangement statement in a new SF 115 is not required as the form One agency recommended providing § 1225.14(b)(2)(iv). of written request to extend the time more explicit detail in § 1223.22 for the We modified § 1225.14(b)(3)(i) to add period that permanent record remain in requirement that vital records dispersal ‘‘if appropriate, the time period for agency custody. We have added a sites must be ‘‘a sufficient distance away retiring inactive records to an approved sentence to that effect. He also so as not to be subject to the same records storage facility’’ at the questioned the need to submit an SF emergency.’’ It is not feasible for NARA suggestion of an agency records officer. 115 if the agency needs to increase the to establish more specific criteria, such A similar statement is already provided retention period for a series of as ‘‘close enough for staff to access and for temporary records in § 1225.16. The temporary records, suggesting that a retrieve records within 12 hours’’ which records officer also suggested adding the notification should be sufficient. While the agency suggested. Agencies must statement where a permanent records NARA has relaxed the requirements for determine what dispersal distances and series is nonrecurring; we believe that NARA approval of temporary increases retrieval requirements will address their the existing choices of immediate in retention to meet special needs, as identified in their continuity transfer to the National Archives of the circumstances (see § 1226.18), we plans. United States or transfer at a set date in believe that ongoing application of a the future are sufficient. different retention period than what Comments on Part 1224—Records We clarified the language in NARA approved on the SF 115 requires Disposition Programs § 1225.14(c) after reviewing a comment NARA review. Two agencies commented on on the wording of subparagraph (c)(2). § 1224.10. One agency suggested that We did not adopt the comment to Comments on Part 1226—Implementing records management program require submission of a revised Disposition promotion activities should be given Standard Form (SF) 115 within one year An agency records officer asked that more emphasis, either here or in after an SF 115 item is withdrawn. we modify the time limit in § 1226.12

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for issuing new approved disposition Comments on Part 1228—Loan of believe that the current wording, taken authorities to allow 1 year for Permanent and Unscheduled Records from 44 U.S.C. 3311, would cover such dissemination; we did not adopt this One agency suggested that we scientific records under the category of comment. The current 6 month specifically address loan of temporary ‘‘other value.’’ requirement has been in effect for a records. We have added a new § 1228.8, Comments on Part 1230—Unlawful or number of years. Because the new Do loans of temporary records require Accidental Removal, Defacing, disposition authorities go into effect on NARA approval? with a clear statement Alteration, or Destruction of Records NARA approval, we believe that prompt that NARA approval is not required for One agency noted that the language in dissemination to agency staff is loan of temporary records, but that § 1230.10 more closely tracked 44 U.S.C. necessary. agencies must maintain their own 3106 and asked if the new wording Two comments asked why an agency controls over such loans. increased liability for agency heads and must inform NARA about the need to We received two comments on records officers. The regulation now maintain records longer than the § 1228.14 regarding the time frames in more clearly states what have always which NARA will act on requests to retention period in the case of legal been the agency responsibilities under loan permanent records. One agency holds. We have removed this 44 U.S.C. 3106. Another agency claimed suggested that NARA should be able to notification requirement from § 1226.20. that § 1230.14 should require NARA act on a request within 15 days; an Federal Records Center staff to report We remind agencies that they must individual suggested that we provide a ensure that records in records storage loss of records in Federal Records time frame for denying requests. In this Center space to NARA (NWM). We did facilities, including any NARA Federal final rule, the time frames for approving records centers, are retained for the not modify the section. It is the or denying loans of original permanent responsibility of the agency to report all duration of the legal hold, as paragraph or unscheduled records are set as within (c) of this section states. instances of accidental or unlawful 30 days. Where NARA can act more removal, defacing, alteration or Two comments addressed the quickly, we will. destruction of its records. If records are requirements in § 1226.24 for destroying One agency noted that it must loan damaged (e.g., water leaks or fire) while temporary records through sale as waste medical records routinely to another in NARA Federal Records Center space, paper or salvage. One comment asked agency; while these records are the records center will notify the that we explicitly identify the actions in currently scheduled as temporary customer agency which will in turn paragraphs (a)(1) and (a)(2) as recycling; records, we recognize that there may be notify NWM. we do not believe this is necessary. One a few instances where agencies cannot Comments on Part 1232—Transfer of agency noted that this may not be provide copies in lieu of original Records to Records Storage Facilities feasible for overseas bases and that an permanent records. Therefore, we have agency may want its personnel to modified this section by adding a new One agency raised concerns with destroy security classified records. We paragraph (b) to allow an agency to § 1232.18(h), which requires agencies to prepare an annual loan agreement have modified paragraph (b)(1) to clarify provide access to appropriate NARA covering multiple transfers from the that the agency or its wastepaper staff to records in records storage same series of records to another single contractor may be the responsible party. facilities in order to conduct inspections Federal agency. or process SF 115s. Their concerns We did not adopt a comment on center on access to security classified § 1226.26 to reduce the information Comments on Part 1229—Emergency Authorization To Destroy Records records. No change is required in the required to request approval to donate regulation. The NARA staff would have disposable temporary records to We received three comments on this the appropriate clearances and access appropriate recipients. NARA needs this part. We made two editorial revisions to would be requested and conducted in information to make its determination. § 1229.10 in response to comments— accordance with all regulations We note that the provisions of this ‘‘the Archivist’’ has been replaced by governing access to national security section have been in place for more than ‘‘NARA’’ and we made the references to classified information or other restricted 10 years. ‘‘continuing menace to human health or information (e.g., IRS or Census life, or to property’’ consistent in the records). This is an existing requirement Comments on Part 1227—General section title, introductory paragraph, in 36 CFR 1228.154(e) and is based on Records Schedules and paragraph (a) of § 1229.10. One the statutory authority in 44 U.S.C. agency non-concurred with the We received two comments on this 2906. introductory paragraph, which is taken part. One comment concerned whether directly from 44 U.S.C. 3310; the agency Comments on Part 1233—Transfer, Use, NARA issues General Records also asked that NARA impose a 72-hour and Disposition of Records in a NARA Schedules (GRS) covering permanent limit on responding to an agency Federal Records Center records; we do. The other comment request. NARA will respond quickly to We have deleted a paragraph from suggested that the time period for urgent requests, as we have § 1233.10 in this final rule as notifying NARA that an agency wishes demonstrated with Hurricane Katrina unnecessary and potentially confusing. to continue to use an agency-specific records in the past, and we do not The paragraph in the proposed rule records schedule in lieu of the GRS be believe that the rule needs to include a stated that NARA Federal Records changed from 90 days to 1 year. We specific short timeframe. We also did Centers may accept contaminated extended the notification period to 4 not adopt the suggestion from another records. Any decision on whether months; the revised time frame will still agency that the wording of § 1229.12 specific contaminated records may be enable the agency to disseminate the should specify ‘‘scientific records’’ as a transferred to a Federal Records Center newly issued GRS to agency staff within category of records lacking sufficient will be addressed in the agency the time limits specified in § 1226.12 value to warrant continued preservation agreement with NARA. should a decision be made to no longer when the space they occupy is urgently One agency commented on use the agency-specific schedule item. needed for military purposes. We § 1233.14(b) that all active duty

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outpatient records are transferred to the records in electronic and other special relationships. The definition of VA Records Center at the time of the media formats. We made editorial edits ‘‘unstructured record’’ specifies that discharge of the member from active to refer consistently to ‘‘digital records created using electronic mail duty. We have modified paragraph (b) to geospatial data.’’ We have clarified the and other messaging applications are reflect this exception. use of DVDs for transfer of electronic considered unstructured records; this is One agency requested that § 1233.16 sound recordings (§ 1235.42(e)) and because e-mail records may contain provide additional detailed guidance on when Tape Archive (TAR) utility can be attachments that are unstructured in transferring Official Personnel Folders used for transferring electronic records format. Finally, they asked how to (OPFs) to the National Personnel (§§ 1235.46 and 1235.50). We also manage transitory e-mail records in Records Center (NPRC). The Office of restored to § 1235.46(b)(3) a table for the accordance with § 1236.22(c)(2). This Personnel Management is the agency standards to be used in conjunction provision has not changed since it was responsible for OPFs and their transfer with DLT tape cartridges that was established in 2006 and allows agencies requirements. We updated the URL for inadvertently omitted from the to maintain and delete transitory (i.e., the Guide to Personnel Recordkeeping. proposed rule. The table is the same as with a retention period of 180-day or Another agency objected to the in the previous regulation at less retention) e-mail records from their statement in § 1233.20(a) that NPRC § 1228.270(c)(1)(iii). We also added to live e-mail systems without transferring does not send a disposal notice to the § 1235.50(d) the use of XML markup these records to a recordkeeping system transferring agency before destroying language. records covered in General Records One agency objected to the if certain conditions are met. The Schedules (GRS) 1 and 2. The records specifications in § 1235.50 for electronic agency would use GRS 23, item 7 or a addressed by paragraph (a) and GRS 1 records, stating that this goes against NARA-approved agency schedule that and 2 belong to the Office of Personnel NARA’s ERA vision. The ERA vision covers such e-mail records as the Management, not the transferring statement accurately reflects NARA’s disposition authority. agency. view of the functionality of the system In response to one agency’s concern when ERA is fully deployed. This CFR Comments on Part 1235—Transfer of that agencies may not consider the need provision reflects the reality of what Records to the National Archives of the to migrate electronic records that have NARA can accept today. As ERA is able United States been sent to off-line or off-site storage to accept additional record formats in areas, we have added a new § 1236.14(c) One agency suggested that we add a future increments, we will further revise to emphasize that this section applies to section concerning pre-accessioning this section. such records. Another agency expressed (early physical transfer to NARA) of Comments on Part 1236—Electronic a view that it is not feasible for all permanent electronic records. We did agencies to continuously migrate not adopt this comment because the Records Management electronic media to current formats. The cases where pre-accessioning can be One comment from the former agency section requires agencies to plan and considered is currently limited and the records management official take actions to ensure their electronic nature of the program may change as the recommended that most of part 1236 records are usable for their full agency Electronic Records Archives (ERA) should be combined with part 1222. He matures and the NARA Federal Records argued that this would provide the retention period; agencies are given Center Program adds to its electronic media-neutral approach that ISO 15489– flexibility as to how they do this. records storage services. 1 has adopted and that most of the One agency suggested that NARA Another agency expressed concerns requirements of part 1236 apply to all provide a list of metadata elements in that the proposed § 1235.16 would recordkeeping systems. While we agree both §§ 1236.12 and 1237.28 pertaining lessen the ability of agencies with that the fundamental concepts to content, context, and structure of national security classified information applicable to managing records are the electronic information. We did not to exempt particularly sensitive same regardless of media, we believe adopt this suggestion. While classified information from transfer to that specifying the requirements for § 1236.22(a)(1) specifies certain NARA. The conditions for agency electronic records management in a minimum metadata that must be retention of records that are more than separate part is still helpful to agencies. preserved for e-mail records, each 30 years old have been in place since We note that § 1236.6 clearly requires agency must identify for itself what 1992 and remain unchanged. We did, agencies to incorporate management of metadata is needed to meet agency however, add a section with timeframes electronic records into the records business needs. for NARA action on agency requests. An management activities required by parts One agency argued that the print-and- individual recommended that we add a 1220–1235. file method of recordkeeping cannot timeframe to § 1235.22 for acting on Two agencies asked whether the submitted SF 258s; we did not adopt requirements in §§ 1236.10, 1236.20, always capture a complete record; we this comment because the timeframes 1236.22 and 1236.24 are applicable to agree and § 1236.24(b) requires agencies needed will depend on the types and all systems that maintain electronic to establish policies and issue volumes of records transferred and records, including transitory e-mail instructions to ensure capture of any whether we must clarify information records. We have clarified § 1236.24 to pertinent hidden text or structure with the transferring agency. state that transitory e-mail may be relationships that the agency identifies Another agency asked that we add to managed as specified in § 1236.22(c). as required for its business needs. We § 1235.32(b)(1) examples of the The agencies also asked about the disagree with the agency’s view that restrictions on records; we did not adopt difference between structured and part 1236 should not apply to temporary this comment because paragraph (c) of unstructured records and whether a records if an agency risk analysis that section directs readers to 36 CFR record created using an e-mail system is supports using a method for managing part 1256, which covers restrictions that always considered an unstructured electronic records that best meets its NARA imposes. record. Structured records, such as business needs even though it might not Several comments addressed the database records, have predetermined meet every records management Subpart C provisions for transfer of data types and understood requirement.

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Comments on Part 1237—Audiovisual, §§ 1237.22(f) and 1237.28(b); those minor, nonsubstantive editorial Cartographic, and Related Records sections advise agencies to contact corrections. Management specific NARA organizations for Regulatory Impact One agency suggested adding additional assistance. ‘‘orthophoto images’’ to the list of Comments on Part 1239—Program This rule is a significant regulatory cartographic records in § 1237.3 and Assistance and Inspections action for the purposes of Executive expanding paragraph (b) of that section Order 12866 and has been reviewed by As noted earlier in this the Office of Management and Budget to address aerial observations that are Supplementary Information, we added a not film-based. We adopted the first (OMB). As required by the Regulatory new final sentence to § 1239.20 Flexibility Act, I certify that this rule suggestion; we will consider specific addressing reporting to Congress and will not have a significant impact on a coverage of other aerial observation the Office of Management and Budget substantial number of small entities records in a future rulemaking. Another on inspections. agency asked if § 1237.12 applies to because this regulation will affect only records created in the future. We Other Changes in This Final Rule From Federal agencies. This regulation does note that the previous NARA the Proposed Rule not have any federalism implications. regulations on permanent audiovisual In addition to the changes to the This rule is not a major rule as defined records (36 CFR 1232.20(a) and proposed rule discussed in previous in 5 U.S.C. Chapter 8, Congressional 1228.266) already require agencies to be sections of this SUPPLEMENTARY Review of Agency Rulemaking. able to transfer the same record INFORMATION, we have revised language Appendix to the Preamble—Derivation elements that are cited in this section. relating to the incorporation by Table We added the elements to part 1237 so reference (IBR) of standards throughout that agencies are aware of what they to meet the Office of the Federal The following derivation table is eventually will need to transfer to the Register’s requirements; corrected provided as a convenience to readers to National Archives of the United States. erroneous cross references to other assist them in locating where each piece In response to comments from two sections; and, as announced in the of the revised material in this final rule agencies, we corrected the wording in proposed rule, added as part 1234, comes from. This table will not be § 1237.14 to state that disposition Facility Standards for Records Storage published in the Code of Federal instructions should provide for early Facilities, the regulatory text of the Regulations. It will be available on transfer of permanent audiovisual, previous 36 CFR part 1228, subpart K NARA’s Web site at http:// cartographic, and related records. One and the two appendixes to the previous www.archives.gov/about/regulations/ agency asked for more guidance in 36 CFR part 1228. We also made other subchapter/b.html.

New section Old section Notes on significant policy changes

Part 1220 Part 1220

1220.1 ...... 1220.1. 1220.2 ...... 1220.10. 1220.3. 1220.10 ...... 1220.2. 1220.12 ...... New summary of NARA responsibilities. 1220.14 ...... 1220.12. 1220.16 ...... New explicit statement that the regulations cover Federal records. 1220.18 ...... 1220.14 ...... Terms that were added: Disposition authority. Electronic record. Information system. Personal files. Retention period. Terms that were substantively revised: Documentary materials. Records schedule. 1220.30 ...... 1220.30; 1222.10 (b) and (c). 1220.32 ...... 1220.34–1220.38 ...... Added reference to continuity of operations. 1220.34 ...... Comprehensive high level list of responsibilities across the records lifecycle drawn from old §§ 1220.40, 1228.42, 1222.20, and 1228.12.

Part 1222 Part 1222

1222.1 ...... 1222.10. 1222.2. 1222.3. 1222.10 ...... 1222.12. 1222.12 ...... 1222.34(a)–(d). 1222.14 ...... 1222.34(f). 1222.16(a) ...... 1222.30(b). 1222.16(b) ...... New; previous covered in NARA guidance. 1222.18 ...... 1222.42 ...... Substantive change in policy. 1222.20 ...... 1222.36. 1222.22 ...... 1222.38. 1222.24 ...... 1222.32.

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1222.26 ...... New; previous covered in NARA guidance. 1222.28 ...... New; previous covered in NARA guidance. 1222.30 ...... 1222.46. 1222.32 ...... 1222.48 ...... Substantively expanded. 1222.34 ...... 1222.50.

Part 1223 Part 1236

1223.1 ...... 1236.12 ...... Updated references. 1223.2 ...... 1236.14. 1223.3. 1223.10 ...... 1236.10. 1223.12 ...... 1236.20 Introductory paragraph. 1223.14 ...... 1236.20(a)–(d). 1223.16 ...... 1236.22. 1223.18. 1223.20 ...... 1236.24. 1223.22 ...... 1236.26. 1223.24 ...... 1236.28.

Part 1224 Part 1228 Subpart A

1224.1 ...... 1228.10. 1224.2. 1224.3. 1224.10 ...... 1228.12.

Part 1225 Part 1228 Subpart B

1225.1. 1225.2. 1225.3. 1225.10 ...... New statement of long-standing policy that all records must be scheduled. 1225.12 ...... 1228.22 ...... Updated with NARA guidance on conducting functional or work proc- ess analysis and flexible scheduling. 1225.14 ...... 1228.28. 1225.16 ...... 1228.30. 1225.18 ...... 1228.22 and 1228.24. 1225.20 ...... 1228.22(f). 1225.22 ...... 1228.31(a) ...... Comprehensive listing of situations when new SF 115 is needed drawn from multiple other sections. 1225.24 ...... 1228.31(b). 1225.26 ...... 1228.32.

Part 1226 Part 1228 Subpart B

1226.1. 1226.2. 1226.3. 1226.10 ...... 1228.50 introductory paragraph. 1226.12 ...... 1228.50(a)(1)–(4) and (d) ...... Substantive change in policy. 1226.14 ...... 1228.50 (c) ...... Substantive change in policy. 1226.16 ...... 1228.52. 1226.18 ...... 1228.54(a). 1226.20 ...... 1228.54(c). 1226.22 ...... 1228.56. 1226.24 ...... 1228.58 (b) and (c). 1226.26 ...... 1228.60.

Part 1227 Part 1228, Subpart C

1227.1. 1227.2. 1227.3. 1227.10 ...... 1228.40. 1227.12 ...... 1228.42 ...... Deadlines changed. 1227.14 ...... 1228.46.

Part 1228 Part 1228, Subpart E

1228.1. 1228.2. 1228.10 ...... 1228.72 ...... Substantive change in policy. 1228.12 ...... 1228.74.

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1228.14 ...... 1228.76. 1228.16 ...... 1228.78.

Part 1229 Part 1228, Subpart F

1229.1. 1229.2. 1229.3. 1229.10 ...... 1228.92(a). 1229.20 ...... 1228.94.

Part 1230 Part 1228, Subpart G

1230.1. 1230.2. 1230.3 ...... Added definitions Alteration, Deface, Removal and Unlawful or Acci- dental Destruction. 1230.10 ...... 1228.100. 1230.12 ...... 1228.102. 1230.14 ...... 1228.104(a). 1230.16 ...... New section on NARA actions. 1230.18 ...... 1228.104(c).

Part 1231 Part 1228, Subpart H

1231.1 ...... 1228.120. 1231.2. 1231.10 ...... 1228.122. 1231.12 ...... 1228.124 and 1228.126. 1231.14 ...... 1228.128. 1231.16 ...... 1228.134. 1231.18 ...... 1228.136.

Part 1232 Part 1228, Subpart I

1232.1. 1232.2. 1232.3. 1232.10 ...... 1228.150. 1232.12 ...... 1228.152. 1232.14(a) ...... 1228.154(a). 1232.14(b) ...... 1228.154(b). 1232.14(c) ...... 1228.154(c) introductory para- graph. 1232.14(d) ...... 1228.154(d) introductory para- graph. 1232.16 ...... 1228.154(c)(1)–(c)(2) and (d)(1)– (d)(2). 1232.18 ...... 1228.154(e)–(f) and 1228.156.

Part 1232 Part 1228, Subpart J

1233.1. 1233.2. 1233.3. 1233.10 ...... 1228.160(a), (d), (e). 1233.12 ...... 1228.162. 1233.14 ...... 1228.164 ...... Added military medical treatment files. 1233.16 ...... 1228.166 ...... Added military medical treatment files. 1233.18 ...... 1228.168 ...... Significant updates. 1233.20 ...... 1228.170.

Part 1234 Part 1228, Subpart K Note: The only changes between the old and new sections are the section numbers and revised IBR language for § 1234.3.

1234.1 ...... 1228.220. 1234.2 ...... 1228.222. 1234.3 ...... 1228.224. 1234.4 ...... 1228.226. 1234.10 ...... 1228.228. 1234.12 ...... 1228.230. 1234.14 ...... 1228.232. 1234.20 ...... 1228.234. 1234.22 ...... 1228.236. 1234.24 ...... 1228.238.

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1234.30 ...... 1228.240. 1234.32 ...... 1228.242. 1234.34 ...... 1228.244. Appendix A to Part 1234 ...... Appendix A to Part 1228. Appendix B to Part 1234 ...... Appendix B to Part 1228.

Part 1235 Part 1228. Subpart L

1235.1 ...... 1228.260. 1235.2. 1235.3. 1235.4. 1235.10 ...... 1228.262(a) introductory text. 1235.12 ...... 1228.262 (a)(1)–(a)(2). 1235.14 ...... 1228.264(a) and(c)(1)–(c)(6) ...... NARA approval requirement added. 1235.16 ...... 1228.264(d) ...... NARA approval requirement added. 1235.18 ...... 1228.272(a). 1235.20 ...... 1228.274(a). 1235.22 ...... 1228.272(c). 1235.30 ...... 1228.280(a). 1235.32 ...... Tracks current 1228.274(b) and (c). 1235.34 ...... 1228.282. 1235.40. 1235.42 ...... 1228.266 and 1228.268 ...... Added digital photographic and geospatial data records. 1235.44 ...... 1228.270(b). 1235.46 ...... 1228.270(c). 1235.48 ...... 1228.270(e). 1235.50 ...... 1228.270(d) ...... Significant updates.

Part 1236 Part 1234

1236.1. 1236.2 ...... Added definitions Unstructured electronic records, metadata. 1236.6 ...... 1234.10. 1236.10. 1236.12. 1236.14. 1236.20. 1236.22 ...... 1234.24. 1236.24. 1236.20(a) ...... 1234.10(m). 1236.26(b) ...... 1234.20(b). 1236.28 ...... 1234.30 ...... Significant updates.

Part 1237 Part 1232

1237.1 ...... Includes cartographic records management. 1237.2. 1237.3 ...... Added definitions: Aerial photographic records Architectural and engineering records Cartographic records. 1237.4. 1237.10 ...... 1232.20(a) and (d) ...... Added cartographic records management. 1237.12 ...... Reflects transfer requirements from 1228.266. 1237.14. 1237.16 ...... 1232.26(a), (c)–(e) ...... Significant updates. 1237.18 ...... 1232.26(b) ...... Significant updates. 1237.20 ...... 1232.28. 1237.22. 1237.24. 1237.26 ...... 1232.30. 1237.28. 1237.30 ...... 1232.22 and 1232.24.

Part 1238 Part 1230

1238.1 ...... 1230.1. 1238.2 ...... 1230.2. 1238.3 ...... 1230.4. 1238.4. 1238.5 ...... 1230.3. 1238.10 ...... 1230.2(d). 1238.12 ...... 1230.12(a)–(b). 1238.14 ...... 1230.14.

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1238.16 ...... 1230.16. 1238.20 ...... 1230.20. 1238.22 ...... 1230.22. 1238.24 ...... 1230.24. 1238.26 ...... 1230.26. 1238.28 ...... 1230.28. 1238.30 ...... 1230.30. 1238.32 ...... 1230.10.

Part 1239 Part 138 and Part 1220, Subpart C

1239.1 ...... 1220.50. 1239.2. 1239.3 ...... Added definition of Inspection. 1239.4. 1239.10 ...... 1238.1. 1239.12 ...... 1238.2. 1239.20 ...... 1220.5. 1239.22 ...... 1220.54 ...... Substantive change in policy and procedures for conducting inspec- tions. 1239.24 ...... 1220.56. 1239.26 ...... 1220.58 ...... Substantive change in policy and procedures.

List of Subjects in 36 CFR Chapter XII, Subchapter B—Records Management § 1220.2 What are the authorities for Subchapter B Subchapter B? PART 1220—FEDERAL RECORDS; Archives and records, Incorporation GENERAL The regulations in this subchapter by reference. implement the provisions of 44 U.S.C. Subpart A—General Provisions of Chapters 21, 29, 31, and 33. ■ For the reasons set forth in the Subchapter B preamble, NARA revises Subchapter B § 1220.3 What standards are used as of chapter XII, title 36, Code of Federal Sec. guidelines for Subchapter B? Regulations, to read as follows: 1220.1 What is the scope of Subchapter B? 1220.2 What are the authorities for These regulations are in conformance Chapter XII—National Archives and Subchapter B? with ISO 15489–1:2001, Information Records Administration 1220.3 What standards are used as and documentation—Records Subchapter B—Records Management guidelines for Subchapter B? management. Other standards relating to 1220.10 Who is responsible for records specific sections of the regulations are Part management? cited where appropriate. 1220 Federal Records; General 1220.12 What are NARA’s records 1222 Creation and Maintenance of Federal management responsibilities? § 1220.10 Who is responsible for records Records 1220.14 Who must follow the regulations in management? 1223 Managing Vital Records Subchapter B? 1224 Records Disposition Program 1220.16 What recorded information must be (a) The National Archives and 1225 Scheduling Records managed in accordance with the Records Administration (NARA) is 1226 Implementing Disposition regulations in Subchapter B? responsible for overseeing agencies’ 1227 General Records Schedules 1220.18 What definitions apply to the adequacy of documentation and records 1228 Loan of Permanent and Unscheduled regulations in Subchapter B? Records 1220.20 What NARA acronyms are used disposition programs and practices, and 1229 Emergency Authorization To Destroy throughout Subchapter B? the General Services Administration Records (GSA) is responsible for overseeing 1230 Unlawful or Accidental Removal, Subpart B—Agency Records Management Program Responsibilities economy and efficiency in records Defacing, Alteration, or Destruction of management. The Archivist of the 1220.30 What are an agency’s records Records United States and the Administrator of 1231 Transfer of Records from the Custody management responsibilities? of One Executive Agency to Another 1220.32 What records management GSA issue regulations and provide 1232 Transfer of Records to Records Storage principles must agencies implement? guidance and assistance to Federal Facilities 1220.34 What must an agency do to carry agencies on records management 1233 Transfer, Use, and Disposition of out its records management programs. NARA regulations are in this Records in a NARA Federal Records responsibilities? subchapter. GSA regulations are in 41 Center Authority: 44 U.S.C. Chapters 21, 29, 31, CFR parts 102–193. 1234 Facility Standards for Records Storage and 33. Facilities (b) Federal agencies are responsible 1235 Transfer of Records to the National § 1220.1 What is the scope of Subchapter for establishing and maintaining a Archives of the United States B? records management program that 1236 Electronic Records Management complies with NARA and GSA 1237 Audiovisual, Cartographic, and Subchapter B specifies policies for Federal agencies’ records management regulations and guidance. Subpart B of Related Records Management this part sets forth basic agency records 1238 Microform Records Management programs relating to proper records 1239 Program Assistance and Inspections creation and maintenance, adequate management requirements. 1240–1249 [Reserved] documentation, and records disposition.

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§ 1220.12 What are NARA’s records designating them either temporary or Executive agency means any management responsibilities? permanent. executive department or independent (a) The Archivist of the United States Commercial records storage facility is establishment in the Executive branch issues regulations and provides a private sector commercial facility that of the U.S. Government, including any guidance and assistance to Federal offers records storage, retrieval, and wholly owned Government corporation. agencies on ensuring adequate and disposition services. Federal agency means any executive proper documentation of the Comprehensive schedule is an agency agency or any establishment in the organization, functions, policies, manual or directive containing Legislative or Judicial branches of the decisions, procedures, and essential descriptions of and disposition Government (except the Supreme Court, transactions of the Federal Government instructions for documentary materials Senate, the House of Representatives, and ensuring proper records in all physical forms, record and and the Architect of the Capitol and any disposition, including standards for nonrecord, created by a Federal agency activities under his direction). (44 improving the management of records. or major component of an Executive U.S.C. 2901(14)). (b) NARA establishes standards for department. Unless taken from General Federal records (see records). the retention of records having Records Schedules (GRS) issued by File means an arrangement of records. continuing value (permanent records), NARA, the disposition instructions for The term denotes papers, photographs, and assists Federal agencies in applying records must be approved by NARA on maps, electronic information, or other the standards to records in their one or more Standard Form(s) 115, recorded information regardless of custody. Request for Records Disposition physical form or characteristics, (c) Through a records scheduling and Authority, prior to issuance by the accumulated or maintained in filing appraisal process, the Archivist of the agency. The disposition instructions for equipment, boxes, on electronic media, United States determines which Federal nonrecord materials are established by or on shelves, and occupying office or records have temporary value and may the agency and do not require NARA storage space. be destroyed and which Federal records approval. See also records schedule. Information system means the have permanent value and must be Contingent records are records whose organized collection, processing, preserved and transferred to the final disposition is dependent on an transmission, and dissemination of National Archives of the United States. action or event, such as sale of property information in accordance with defined The Archivist’s determination or destruction of a facility, which will procedures, whether automated or constitutes mandatory authority for the take place at some unspecified time in manual. final disposition of all Federal records. the future. Metadata consists of preserved (d) The Archivist of the United States Disposition means those actions taken contextual information describing the issues General Records Schedules (GRS) regarding records no longer needed for history, tracking, and/or management of authorizing disposition, after specified the conduct of the regular current an electronic document. periods of time, of records common to business of the agency. National Archives of the United several or all Federal agencies. Disposition authority means the legal States is the collection of all records authorization for the retention and selected by the Archivist of the United § 1220.14 Who must follow the regulations disposal of records. For Federal records States because they have sufficient in Subchapter B? it is found on SF 115s, Request for historical or other value to warrant their The regulations in Subchapter B Records Disposition Authority, which continued preservation by the Federal apply to Federal agencies as defined in have been approved by the Archivist of Government and that have been § 1220.18. the United States. For nonrecord transferred to the legal custody of the Archivist of the United States, currently § 1220.16 What recorded information must materials, the disposition is established be managed in accordance with the by the creating or custodial agency. See through execution of a Standard Form regulations in Subchapter B? also records schedule. (SF) 258 (Agreement to Transfer Records Documentary materials is a collective to the National Archives of the United The requirements in Subchapter B term that refers to recorded information, States). See also permanent record. apply to documentary materials that regardless of the medium or the method Nonrecord materials are those meet the definition of Federal records. or circumstances of recording. Federally owned informational See also Part 1222 of this subchapter. Electronic record means any materials that do not meet the statutory § 1220.18 What definitions apply to the information that is recorded in a form definition of records (44 U.S.C. 3301) or regulations in Subchapter B? that only a computer can process and that have been excluded from coverage As used in subchapter B— that satisfies the definition of a Federal by the definition. Excluded materials Adequate and proper documentation record under the Federal Records Act. are extra copies of documents kept only means a record of the conduct of The term includes both record content for reference, stocks of publications and Government business that is complete and associated metadata that the agency processed documents, and library or and accurate to the extent required to determines is required to meet agency museum materials intended solely for document the organization, functions, business needs. reference or exhibit. policies, decisions, procedures, and Evaluation means the selective or Permanent record means any Federal essential transactions of the agency and comprehensive inspection, audit, or record that has been determined by that is designed to furnish the review of one or more Federal agency NARA to have sufficient value to information necessary to protect the records management programs for warrant its preservation in the National legal and financial rights of the effectiveness and for compliance with Archives of the United States, even Government and of persons directly applicable laws and regulations. It while it remains in agency custody. affected by the agency’s activities. includes recommendations for Permanent records are those for which Agency (see Executive agency and correcting or improving records the disposition is permanent on SF 115, Federal agency). management policies and procedures, Request for Records Disposition Appraisal is the process by which the and follow-up activities, including Authority, approved by NARA on or NARA determines the value and the reporting on and implementing the after May 14, 1973. The term also final disposition of Federal records, recommendations. includes all records accessioned by

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NARA into the National Archives of the been approved by NARA to authorize NWME means the Electronic and United States. the disposition of Federal records; Special Media Records Services Personal files (also called personal (2) A General Records Schedule (GRS) Division. papers) are documentary materials issued by NARA; or NWML means the Lifecycle belonging to an individual that are not (3) A published agency manual or Management Division. used to conduct agency business. directive containing the records NWMW means the Washington Personal files are excluded from the descriptions and disposition National Records Center. definition of Federal records and are not instructions approved by NARA on one NWT means Preservation Programs. owned by the Government. or more SF 115s or issued by NARA in Recordkeeping requirements means the GRS. See also comprehensive Subpart B—Agency Records all statements in statutes, regulations, schedule. Management Responsibilities Records storage facility is a records and agency directives or other § 1220.30 What are an agency’s records authoritative issuances, that provide center or a commercial records storage management responsibilities? general or specific requirements for facility, as defined in this section, i.e., (a) Under 44 U.S.C. 3101, the head of Federal agency personnel on particular a facility used by a Federal agency to each Federal agency must make and records to be created and maintained by store Federal records, whether that preserve records containing adequate the agency. facility is operated and maintained by Recordkeeping system is a manual or the agency, by NARA, by another and proper documentation of the electronic system that captures, Federal agency, or by a private organization, functions, policies, organizes, and categorizes records to commercial entity. decisions, procedures, and essential facilitate their preservation, retrieval, Retention period is the length of time transactions of the agency. These use, and disposition. that records must be kept. records must be designed to furnish the Records or Federal records is defined Series means file units or documents information necessary to protect the in 44 U.S.C. 3301 as including ‘‘all arranged according to a filing or legal and financial rights of the books, papers, maps, photographs, classification system or kept together Government and of persons directly machine readable materials, or other because they relate to a particular affected by the agency’s activities. documentary materials, regardless of subject or function, result from the same (b) Under 44 U.S.C. 3102, the head of physical form or characteristics, made activity, document a specific kind of each Federal agency must establish and or received by an agency of the United transaction, take a particular physical maintain an active, continuing program States Government under Federal law or form, or have some other relationship for the economical and efficient in connection with the transaction of arising out of their creation, receipt, or management of the records of the public business and preserved or use, such as restrictions on access and agency. (c) Agency records management appropriate for preservation by that use. Also called a records series. programs must provide for: agency or its legitimate successor as Temporary record means any Federal record that has been determined by the (1) Effective controls over the evidence of the organization, functions, creation, maintenance, and use of policies, decisions, procedures, Archivist of the United States to have insufficient value (on the basis of records in the conduct of current operations or other activities of the business; and Government or because of the current standards) to warrant its preservation by the National Archives (2) Cooperation with the Archivist informational value of the data in them and the Administrator of GSA in (44 U.S.C. 3301).’’ (See also § 1222.10 of and Records Administration. This determination may take the form of: applying standards, procedures, and this part for an explanation of this techniques designed to improve the definition). (1) Records designated as disposable in an agency records disposition management of records, promote the Records center is defined in 44 U.S.C. maintenance and security of records 2901(6) as an establishment maintained schedule approved by NARA (SF 115, Request for Records Disposition deemed appropriate for preservation, and operated by the Archivist (NARA and facilitate the segregation and Federal Records Center) or by another Authority); or (2) Records designated as disposable destruction of records of temporary Federal agency primarily for the storage, value. servicing, security, and processing of in a General Records Schedule. Unscheduled records are Federal records which need to be preserved for § 1220.32 What records management varying periods of time and need not be records whose final disposition has not principles must agencies implement? been approved by NARA on a SF 115, retained in office equipment or space. Agencies must create and maintain Request for Records Disposition See also records storage facility. authentic, reliable, and usable records Authority. Such records must be treated Records management, as used in and ensure that they remain so for the as permanent until a final disposition is subchapter B, means the planning, length of their authorized retention approved. controlling, directing, organizing, period. A comprehensive records training, promoting, and other § 1220.20 What NARA acronyms are used management program provides policies managerial activities involved with throughout Subchapter B? and procedures for ensuring that: respect to records creation, records As used in Subchapter B— (a) Records documenting agency maintenance and use, and records NARA means the National Archives business are created or captured; disposition in order to achieve adequate and Records Administration. (b) Records are organized and and proper documentation of the NAS means the Space and Security maintained to facilitate their use and policies and transactions of the Federal Management Division. ensure integrity throughout their Government and effective and NR means the Office of Regional authorized retention periods; economical management of agency Record Services. (c) Records are available when operations. NWCS means the Special Media needed, where needed, and in a usable Records schedule or schedule means Archives Services Division. format to conduct agency business; any of the following: NWM means Modern Records (d) Legal and regulatory requirements, (1) A Standard Form 115, Request for Programs, which includes NARA relevant standards, and agency policies Records Disposition Authority that has records management staff nationwide. are followed;

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(e) Records, regardless of format, are identification of Federal records, in all Subpart A—Identifying Federal protected in a safe and secure formats and media; Records environment and removal or destruction (g) Develop records schedules for all is carried out only as authorized in records created and received by the § 1222.1 What are the authorities for Part 1222? records schedules; and agency and obtain NARA approval of (f) Continuity of operations is the schedules prior to implementation, The statutory authorities for this part supported by a vital records program in accordance with 36 CFR parts 1225 are 44 U.S.C. 2904, 3101, 3102, and (see part 1223 of this subchapter). and 1226 of this subchapter; 3301. (h) Comply with applicable policies, § 1222.2 What definitions apply to this § 1220.34 What must an agency do to procedures, and standards relating to carry out its records management part? responsibilities? records management and recordkeeping See § 1220.18 of this subchapter for requirements issued by the Office of definitions of terms used in part 1222. To carry out the responsibilities Management and Budget, NARA, GSA, specified in 44 U.S.C. 3101 and 3102, or other agencies, as appropriate (see § 1222.3 What standards are used as agencies must: § 1222.22 of this subchapter); guidance for this part? (a) Assign records management (i) Institute controls ensuring that all These regulations conform with responsibility to a person and office records, regardless of format or medium, guidance provided in ISO 15489– with appropriate authority within the are properly organized, classified or 1:2001, Information and agency to coordinate and oversee indexed, and described, and made documentation—Records management. implementation of the agency available for use by all appropriate Paragraphs 7.1 (Principles of records comprehensive records management agency staff; and management programmes), 7.2 program principles in § 1220.32; (j) Conduct formal evaluations to (Characteristics of a record), 8.3.5 (b) Advise NARA and agency measure the effectiveness of records (Conversion and migration), 8.3.6 managers of the name(s) of the management programs and practices, (Access, retrieval and use), and 9.6 individual(s) assigned operational and to ensure that they comply with (Storage and handling) apply to records responsibility for the agency records NARA regulations in this subchapter. creation and maintenance. management program. To notify NARA, send the name(s), e-mail and postal PART 1222—CREATION AND § 1222.10 How should agencies apply the statutory definition of Federal records? addresses, phone and fax numbers of MAINTENANCE OF FEDERAL the individual(s) to NARA (NWM), 8601 RECORDS (a) The statutory definition of Federal Adelphi Road, College Park, MD 20740– records is contained in 44 U.S.C. 3301 6001 or to Subpart A—Identifying Federal Records and provided in § 1220.18 of this [email protected]. The Sec. subchapter. name, title, and phone number of the 1222.1 What are the authorities for Part (b) Several key terms, phrases, and official or officials authorized by the 1222? concepts in the statutory definition of a head of the agency to sign records 1222.2 What definitions apply to this part? Federal record are further explained as 1222.3 What standards are used as guidance disposition schedules and requests for follows: for this part? (1) Documentary materials has the transfer of records to the custody of the 1222.10 How should agencies apply the meaning provided in § 1220.18 of this National Archives must also be statutory definition of Federal records? subchapter. submitted to NARA (NWM) or 1222.12 What types of documentary (2) Regardless of physical form or [email protected]; materials are Federal records? characteristics means that the medium (c) Issue a directive(s) establishing 1222.14 What are nonrecord materials? 1222.16 How are nonrecord materials may be paper, film, disk, or other program objectives, responsibilities, and physical type or form; and that the authorities for the creation, managed? 1222.18 Under what conditions may method of recording may be manual, maintenance, and disposition of agency nonrecord materials be removed from mechanical, photographic, electronic, or records. Copies of the directive(s) government agencies? any other combination of these or other (including subsequent amendments or 1222.20 How are personal files defined and technologies. supplements) must be disseminated managed? (3) Made means the act of creating throughout the agency, as appropriate, Subpart B—Agency Recordkeeping and recording information by agency and a copy must be sent to NARA Requirements personnel in the course of their official (NWM); duties, regardless of the method(s) or (d) Assign records management 1222.22 What records are required to provide for adequate documentation of the medium involved. responsibilities in each program agency business? (4) Received means the acceptance or (mission) and administrative area to 1222.24 How do agencies establish collection of documentary materials by ensure incorporation of recordkeeping recordkeeping requirements? or on behalf of an agency or agency requirements and records maintenance, 1222.26 What are the general recordkeeping personnel in the course of their official storage, and disposition practices into requirements for agency programs? duties regardless of their origin (for agency programs, processes, systems, 1222.28 What are the series level example, other units of their agency, and procedures; recordkeeping requirements? private citizens, public officials, other (e) Integrate records management and 1222.30 When must agencies comply with the recordkeeping requirements of other agencies, contractors, Government archival requirements into the design, agencies? grantees) and regardless of how development, and implementation of 1222.32 How do agencies manage data and transmitted (in person or by messenger, electronic information systems as records created or received by mail, electronic means, or by any other specified in § 1236.12 of this contractors? method). In this context, the term does subchapter; 1222.34 How must agencies maintain not refer to misdirected materials. It (f) Provide guidance and training to records? may or may not refer to loaned or seized all agency personnel on their records Authority: 44 U.S.C. 2904, 3101, 3102, and materials depending on the conditions management responsibilities, including 3301. under which such materials came into

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agency custody or were used by the § 1222.14 What are nonrecord materials? Government agency custody only with agency. Advice of legal counsel should Nonrecord materials are U.S. the approval of the head of the agency be sought regarding the ‘‘record’’ status Government-owned documentary or the individual(s) authorized to act for of loaned or seized materials. materials that do not meet the the agency on records issues. (5) Preserved means the filing, storing, conditions of records status (see (b) National security classified or any other method of systematically § 1222.12(b)) or that are specifically information may not be removed from maintaining documentary materials in excluded from the statutory definition Government custody, except for a any medium by the agency. This term of records (see 44 U.S.C. 3301). An removal of custody taken in accordance covers materials not only actually filed agency’s records management program with the requirements of the National or otherwise systematically maintained also needs to include managing Industrial Security Program established but also those temporarily removed nonrecord materials. There are three under Executive Order 12829, as from existing filing systems. specific categories of materials excluded amended, or a successor Order. (6) Appropriate for preservation from the statutory definition of records: (c) Information which is restricted means documentary materials made or (a) Library and museum material (but from release under the Privacy Act of received which, in the judgment of the only if such material is made or 1974 (5 U.S.C. 552a), as amended, or agency, should be filed, stored, or acquired and preserved solely for other statutes may not be removed from otherwise systematically maintained by reference or exhibition purposes), Government custody except as an agency because of the evidence of including physical exhibits, artifacts, permitted under those statutes. agency activities or information they and other material objects lacking (d) This section does not apply to use contain, even if the materials are not evidential value. of records and nonrecord materials in covered by its current filing or (b) Extra copies of documents (but the course of conducting official agency maintenance procedures. only if the sole reason such copies are business, including telework and preserved is for convenience of authorized dissemination of § 1222.12 What types of documentary reference). information. materials are Federal records? (c) Stocks of publications and of (a) General. To ensure that complete processed documents. Catalogs, trade § 1222.20 How are personal files defined and managed? and accurate records are made and journals, and other publications that are retained in the Federal Government, received from other Government (a) Personal files are defined in agencies must distinguish between agencies, commercial firms, or private § 1220.18 of this subchapter. This records and nonrecord materials by institutions and that require no action section does not apply to agencies and applying the definition of records (see and are not part of a case on which positions that are covered by the 44 U.S.C. 3301 and 36 CFR 1220.18 and action is taken. (Stocks do not include Presidential Records Act of 1978 (44 1222.10 of this subchapter) to agency serial or record sets of agency U.S.C. 2201–2207) (see 36 CFR part documentary materials in all formats publications and processed documents, 1270 of this chapter). and media. including annual reports, brochures, (b) Personal files must be clearly (b) Record status. Documentary pamphlets, books, handbooks, posters designated as such and must be materials are records when they meet and maps.) maintained separately from the office’s the conditions specified in § 1222.10(b). official records. (c) Working files and similar § 1222.16 How are nonrecord materials (1) Information about private (non- managed? materials. Working files, such as agency) matters and agency business preliminary drafts and rough notes, and (a) Agencies must develop must not be mixed in outgoing agency other similar materials, are records that recordkeeping requirements to documents, such as correspondence and must be maintained to ensure adequate distinguish records from nonrecord messages. and proper documentation if: materials. (2) If information about private (1) They were circulated or made (b) The following guidelines should matters and agency business appears in available to employees, other than the be used in managing nonrecord a received document, the document is a creator, for official purposes such as materials: Federal record. Agencies may make a approval, comment, action, (1) If a clear determination cannot be copy of the document with the personal recommendation, follow-up, or to made, the materials should be treated as information deleted or redacted, and communicate with agency staff about records. Agencies may consult with treat the copy as the Federal record. agency business; and NARA for guidance. (3) Materials labeled ‘‘personal,’’ (2) Nonrecord materials must be (2) They contain unique information, ‘‘confidential,’’ or ‘‘private,’’ or similarly physically segregated from records or, such as substantive annotations or designated, and used in the transaction for electronic non-record materials, comments that adds to a proper of public business, are Federal records. readily identified and segregable from understanding of the agency’s The use of a label such as ‘‘personal’’ records; formulation and execution of basic does not affect the status of (3) Nonrecord materials should be policies, decisions, actions, or documentary materials in a Federal purged when no longer needed for responsibilities. agency. reference. NARA’s approval is not (d) Record status of copies. The required to destroy such materials. Subpart B—Agency Recordkeeping determination as to whether a particular Requirements document is a record does not depend § 1222.18 Under what conditions may upon whether it contains unique nonrecord materials be removed from § 1222.22 What records are required to information. Multiple copies of the Government agencies? provide for adequate documentation of same document and documents (a) Nonrecord materials, including agency business? containing duplicative information may extra copies of unclassified or formally To meet their obligation for adequate each have record status depending on declassified agency records kept only and proper documentation, agencies how they are used in conducting agency for convenience of reference, may be must prescribe the creation and business. removed by departing employees from maintenance of records that:

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(a) Document the persons, places, subchapter and inform all employees imposed government-wide by another things, or matters dealt with by the that they are responsible and agency with jurisdiction over the agency. accountable for keeping accurate and program or activity being conducted, (b) Facilitate action by agency officials complete records of their activities. e.g., requirements for records and their successors in office. concerning hazardous waste. Affected (c) Make possible a proper scrutiny by § 1222.26 What are the general agencies must include these the Congress or other duly authorized recordkeeping requirements for agency programs? requirements in appropriate directives agencies of the Government. or other official issuances prescribing (d) Protect the financial, legal, and To ensure the adequate and proper the agency’s organization, functions, or other rights of the Government and of documentation of agency programs, activities. persons directly affected by the each program must develop Government’s actions. recordkeeping requirements that § 1222.32 How do agencies manage (e) Document the formulation and identify: records created or received by contractors? execution of basic policies and (a) The record series and systems that (a) Agency officials responsible for decisions and the taking of necessary must be created and maintained to administering contracts must safeguard actions, including all substantive document program policies, procedures, records created, processed, or in the decisions and commitments reached functions, activities, and transactions; possession of a contractor or a non- orally (person-to-person, by (b) The office responsible for Federal entity by taking the following telecommunications, or in conference) maintaining the record copies of those steps: series and systems, and the applicable or electronically. (1) Agencies must ensure that system administrator responsible for (f) Document important board, contractors performing Federal ensuring authenticity, protection, and committee, or staff meetings. government agency functions create and ready retrieval of electronic records; maintain records that document these § 1222.24 How do agencies establish (c) Related records series and systems; recordkeeping requirements? (d) The relationship between paper activities. Agencies must specify in the contract Government ownership and the (a) Agencies must ensure that and electronic files in the same series; delivery to the Government of all procedures, directives and other and records necessary for the adequate and issuances; systems planning and (e) Policies, procedures, and strategies proper documentation of contractor- development documentation; and other for ensuring that records are retained operated agency activities and programs relevant records include recordkeeping long enough to meet programmatic, in accordance with requirements of the requirements for records in all media, administrative, fiscal, legal, and Federal Acquisition Regulation (FAR) including those records created or historical needs as authorized in a (Office of Federal Procurement Policy received on electronic mail systems. NARA-approved disposition schedule. Act of 1974 (Pub. L. 93–400), as Recordkeeping requirements must: § 1222.28 What are the series level amended by Pub. L. 96–83 41 U.S.C.), (1) Identify and prescribe specific recordkeeping requirements? and, where applicable, the Defense categories of records to be To ensure that record series and Federal Acquisition Regulation systematically created or received and systems adequately document agency Supplement (DFARS) (48 CFR parts maintained by agency personnel in the policies, transactions, and activities, 200–299). course of their official duties; (2) Specify the use of materials and each program must develop (2) Records management oversight of recording techniques that ensure the recordkeeping requirements for records contract records is necessary to ensure preservation of records as long as they series and systems that include: that all recordkeeping needs are met. All (a) Identification of information and are needed by the Government; records created for Government use and documentation that must be included in (3) Specify the manner in which these delivered to, or under the legal control the series and/or system; materials must be maintained wherever of, the Government must be managed in (b) Arrangement of each series and the held; accordance with Federal law. In records within the series and/or system; (4) Propose how long records must be addition, electronic records and (c) Identification of the location of the maintained for agency business through background electronic data specified for records and the staff responsible for the scheduling process in part 1225 of delivery to the contracting agency must maintaining the records; be accompanied by sufficient technical this subchapter; (d) Policies and procedures for (5) Distinguish records from documentation to permit understanding maintaining the documentation of nonrecord materials and comply with and use of the records and data. phone calls, meetings, instant messages, the provisions in Subchapter B (3) Contracts that require the creation and electronic mail exchanges that concerning records scheduling and of data for the Government’s use must include substantive information about disposition; specify, in addition to the final product, agency policies and activities; delivery of background supporting data (6) Include procedures to ensure that (e) Policies and procedures for or other records that may have reuse departing officials and employees do identifying working files and for value to the Government. To determine not remove Federal records from agency determining the record status of what background supporting data or custody and remove nonrecord working files in paper and electronic other records that contractors must materials only in accordance with form; and deliver, program and contracting § 1222.18; (f) Policies and procedures for officials must consult with agency (7) Define the special recordkeeping maintaining series consisting of records and information managers and responsibilities of program managers, different media. information technology staff, systems historians and, when appropriate, with administrators, and the general § 1222.30 When must agencies comply other Government agencies to ensure recordkeeping responsibilities of all with the recordkeeping requirements of that all Government needs are met, agency employees. other agencies? especially when the data deliverables (b) Agencies must provide the training Agencies must comply with support a new agency mission or a new described in § 1220.34(f) of this recordkeeping requirements that are Government program.

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(4) Deferred ordering and delivery-of- (g) Maintain personal files separately replacement with copies of current vital data clauses and rights-in-data clauses from records in accordance with records. This may occur daily, weekly, must be included in contracts whenever § 1222.20; and quarterly, annually or at other necessary to ensure adequate and proper (h) Comply with 36 CFR parts 1232 designated intervals. documentation or because the data have and 1234 of this subchapter when Disaster means an unexpected reuse value to the Government. storing records in a records facility. occurrence inflicting widespread (b) All data created for Government destruction and distress and having use and delivered to, or falling under PART 1223—MANAGING VITAL long-term adverse effects on agency the legal control of, the Government are RECORDS operations. Each agency defines what a long-term adverse effect is in relation to Federal records subject to the provisions Sec. of 44 U.S.C. chapters 21, 29, 31, and 33, 1223.1 What are the authorities for Part its most critical program activities. the Freedom of Information Act (FOIA) 1223? Emergency means a situation or an (5 U.S.C. 552), as amended, and the 1223.2 What definitions apply to this part? occurrence of a serious nature, Privacy Act of 1974 (5 U.S.C. 552a), as 1223.3 What standards are used as developing suddenly and unexpectedly, amended, and must be managed and guidance for Part 1223? and demanding immediate action. This scheduled for disposition only as 1223.4 What publications are incorporated is generally of short duration, for by reference in this part? provided in Subchapter B. example, an interruption of normal 1223.10 What is the purpose of Part 1223? agency operations for a week or less. It (c) Agencies must ensure that 1223.12 What are the objectives of a vital appropriate authority for retention of may involve electrical failure or minor records program? flooding caused by broken pipes. classified materials has been granted to 1223.14 What elements must a vital Emergency operating records are contractors or non-Government entities records program include? those types of vital records essential to participating in the National Industrial 1223.16 How are vital records identified? the continued functioning or Security Program (NISP), established 1223.18 Must vital records be in a reconstitution of an organization during under Executive order 12829, as particular form or format? 1223.20 What are the requirements for and after an emergency. Included are amended, or a successor Order. accessing vital records during an emergency plans and directive(s), orders § 1222.34 How must agencies maintain emergency? of succession, delegations of authority, records? 1223.22 How must agencies protect vital staffing assignments, selected program records? Agencies must implement a records records needed to continue the most 1223.24 When can vital records be critical agency operations, as well as maintenance program so that complete destroyed? records are filed or otherwise identified related policy or procedural records that Authority: 44 U.S.C. 3101; E.O. 12656, 53 assist agency staff in conducting and preserved, records can be readily FR 47491; E.O. 13231, 66 FR 53063. found when needed, and permanent and operations under emergency conditions temporary records are physically § 1223.1 What are the authorities for Part and for resuming normal operations segregated from each other or, for 1223? after an emergency. electronic records, segregable. Agency (a) The authorities for this part are 44 Legal and financial rights records are records maintenance programs must: U.S.C. 3101; Executive Orders 12656, that type of vital records essential to protect the legal and financial rights of (a) Institute procedures for organizing Assignment of Emergency Preparedness the Government and of the individuals and storing records; Responsibilities, and 13231, Critical directly affected by its activities. (b) Maintain electronic, audiovisual Infrastructure Protection in the Examples include accounts receivable and cartographic, and microform Information Age; and National Security records, social security records, payroll records in accordance with 36 CFR parts Presidential Directive (NSPD 51)/ records, retirement records, and 1236, 1237, and 1238 of this subchapter, Homeland Security Presidential insurance records. These records were respectively; Directive (HSPD–20) or applicable formerly defined as ‘‘rights-and- (c) Assign responsibilities for successor directives. These authorities require the head of each agency to make interests’’ records. maintenance of records in all formats National security emergency means and preserve records that contain within each agency component, any occurrence, including natural adequate and proper documentation of including designation of the officials disaster, military attack, technological the organization and to perform national that are responsible for maintenance emergency, or other emergency, that security emergency preparedness and disposition of electronic records seriously degrades or threatens the functions. and management of automated systems national security of the United States, as used for recordkeeping; (b) These regulations are in conformance with guidance provided in defined in Executive Order 12656. (d) Institute reference and retrieval Off-site storage means a facility other Federal Continuity Directive (FCD) 1, procedures and controls that: than an agency’s normal place of Federal Executive Branch National (1) Facilitate the finding, charging out, business where records are kept until Continuity Program and Requirements, and refiling of records, including eligible for final disposition. Vital and FCD 2, Federal Executive Branch safeguards against loss during transit; records may be kept at off-site storage to Mission Essential Function and Primary and ensure that they are not damaged or Mission Essential Function (2) Ensure that access to electronic destroyed should an emergency occur in Identification and Submission Process. records minimizes the risk of an agency’s normal place of business. unauthorized additions, deletions, or § 1223.2 What definitions apply to this Vital records means essential agency alterations; part? records that are needed to meet (e) Issue appropriate instructions to (a) See § 1220.18 of this subchapter operational responsibilities under all agency employees on handling and for definitions of terms used throughout national security emergencies or other protecting records; Subchapter B, including part 1223. emergency conditions (emergency (f) Maintain records and nonrecord (b) As used in part 1223— operating records) or to protect the legal materials separately, in accordance with Cycle means the periodic removal of and financial rights of the Government § 1222.16; obsolete copies of vital records and their and those affected by Government

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activities (legal and financial rights § 1223.10 What is the purpose of Part records-mgmt/vital-records/index.html records). 1223? for further information. Vital records program means the Part 1223 specifies policies and (b) Records may be maintained on a policies, plans, and procedures procedures needed to establish a variety of media including paper, developed and implemented and the program to identify, protect, and magnetic tape, optical disk, resources needed to identify, use, and manage vital records as part of an photographic film, and microform. In protect the essential records needed to agency’s continuity of operation plan selecting the media, agencies must meet operational responsibilities under designed to meet emergency ensure that equipment needed to read national security emergencies or other management responsibilities. the specific media will be available following an emergency or disaster. emergency conditions or to protect the § 1223.12 What are the objectives of a vital Government’s rights or those of its records program? § 1223.20 What are the requirements for citizens. This is a program element of an A vital records program has two accessing vital records during an agency’s emergency management objectives: emergency? function. (a) It provides an agency with the Agencies must establish retrieval § 1223.3 What standards are used as information it needs to conduct its procedures for vital records that are guidance for Part 1223? business under other than normal easily implemented, especially since operating conditions and to resume individuals unfamiliar with the records These regulations conform with normal business afterward; and may need to use them in an emergency. guidance provided in ISO 15489– (b) It enables agency officials to For electronic records systems, agencies 1:2001. Paragraphs 4 (Benefits of records identify and protect the most important must also ensure that appropriate management), Paragraphs 7.1 records dealing with the legal and hardware, software, and system (Principles of records management financial rights of the agency and of documentation adequate to operate the programmes) and 9.6 (Storage and persons directly affected by the agency’s system and access the records will be handling) apply to vital records. actions. available in case of an emergency. § 1223.4 What publications are § 1223.14 What elements must a vital § 1223.22 How must agencies protect vital incorporated by reference in this part? records program include? records? (a) Certain material is incorporated by To achieve compliance with this Agencies must take appropriate reference into this part with the section, an agency’s vital records measures to ensure the survival of the approval of the Director of the Federal program must contain all elements vital records or copies of vital records in Register under 5 U.S.C. 552(a) and 1 listed in FCD 1, Annex I (incorporated case of an emergency. CFR part 51. To enforce any edition by reference, see § 1223.4). In carrying (a) Duplication. Agencies may choose other than that specified in this section, out a vital records program, agencies to duplicate vital records as the primary NARA must publish notice of change in must: protection method. Duplication can be the Federal Register and the material (a) Specify agency staff to the same medium as the original must be available to the public. All responsibilities; record or to a different medium. When approved material is available for (b) Appropriately inform all staff agencies choose duplication as a inspection at the Office of the Federal about vital records; protection method, the copy of the vital Register. For information on the (c) Ensure that the designation of vital record stored off-site is normally a availability of this material at the Office records is current and complete; and duplicate of the original record. The of the Federal Register, call 202–741– (d) Ensure that vital records are agency may store the original records 6030 or go to http://www.archives.gov/ adequately protected, accessible, and off-site if their protection is necessary, federal_register/ immediately usable. or if it does not need to keep the original _ _ _ code of federal regulations/ § 1223.16 How are vital records identified? records at its normal place of business. _ ibr locations.html. Agencies identify vital records in the (b) Dispersal. Once records are (b) The material incorporated by context of the emergency management duplicated, they must be dispersed to reference is also available for inspection function. Vital records are those that are sites a sufficient distance away to avoid at NARA’s Archives Library Information needed to perform the most critical being subject to the same emergency. Center (NWCCA), Room 2380, 8601 functions of the agency and those Dispersal sites may be other office Adelphi Road, College Park, MD 20740– needed to protect legal and financial locations of the same agency or some 6001, phone number (301) 837–3415, rights of the Government and of the other site. and is available from the sources listed persons affected by its actions. Vital (c) Storage considerations. Copies of below. records also include emergency plans emergency operating vital records must be accessible in a very short period of (c) The following Web publication is and related records that specify how an time for use in the event of an available on-line at http:// agency will respond to an emergency. emergency. Copies of legal and financial www.fema.gov/pdf/about/offices/ The informational content of records rights records may not be needed as fcd1.pdf; it is published by the series and electronic records systems quickly. In deciding where to store vital Department of Homeland Security determines which are vital records. record copies, agencies must treat (DHS), 245 Murray Lane, Washington, Only the most recent and complete records that have the properties of both DC, 20528, phone number, (202) 245– sources of the information are vital categories, that is, emergency operating 2499. records. and legal and financial rights records, as (1) Federal Continuity Directive 1 § 1223.18 Must vital records be in a emergency operating records. (‘‘FCD 1’’): Federal Executive Branch particular form or format? (1) The off-site copy of legal and National Continuity Program and (a) Vital records can be original financial rights vital records may be Requirements, February 2008, IBR records or copies of records. Consult stored at an off-site agency location or, approved for § 1223.14. NARA records management guidance on in accordance with § 1233.12 of this (2) [Reserved] vital records at http://www.archives.gov/ subchapter, at a records storage facility.

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(2) When using a NARA records 1220.32(e), and 1220.34(c), (f), and (g) of § 1225.2 What definitions apply to this storage facility for storing vital records this subchapter agencies must: part? that are duplicate copies of original (a) Ensure that all records are See § 1220.18 of this subchapter for records, the agency must specify on the scheduled in accordance with part 1225 definitions of terms used throughout SF 135, Records Transmittal and of this subchapter, schedules are Subchapter B, including part 1225. Receipt, that they are vital records implemented in accordance with part § 1225.3 What standards are used as (duplicate copies) and the medium on 1226 of this subchapter, and permanent guidance for this part? which they are maintained. The agency records are transferred to the National These regulations conform with must also periodically cycle (update) Archives of the United States. guidance provided in ISO 15489– them by removing obsolete items and (b) Promptly disseminate and 1:2001, Information and replacing them with the most recent implement NARA-approved agency documentation—Records management. version. schedules and additions and changes to Paragraphs 4 (Benefits of records § 1223.24 When can vital records be the General Records Schedules (GRS) in management), 6.3 (Responsibilities), 7.1 destroyed? accordance with § 1226.12(a) of this (Principles of records management The disposition of vital records that subchapter. programmes), 8.3.7 (Retention and are original records is governed by (c) Regularly review agency-generated disposition), 9.2 (Determining how long records schedules approved by NARA schedules, and, if necessary, update to retain records), 9.10 (Documenting (see part 1225, Scheduling Records, of them. records management processes), 10 (Records management processes and this subchapter). Agencies must not (d) Incorporate records retention and controls), and 11 (Monitoring and destroy original records that are not disposition functionality during the auditing) apply to records scheduling. scheduled. Duplicate copies created and design, development, and maintained for vital records purposes implementation of new or revised § 1225.10 What Federal records must be only may be destroyed when recordkeeping systems (whether paper scheduled? superseded or obsolete during the or electronic). See § 1236.6 of this All Federal records, including those routine vital records cycle process. subchapter. created or maintained for the Government by a contractor, must be PART 1224—RECORDS DISPOSITION (e) Provide training and guidance to covered by a NARA-approved agency PROGRAMS all employees on agency records disposition requirements and disposition authority, SF 115, Request Sec. procedures and other significant aspects for Records Disposition Authority, or 1224.1 What are the authorities for Part of the records disposition program. the NARA General Records Schedules. 1224? When a new or revised records schedule 1224.2 What definitions apply to this part? § 1225.12 How are records schedules is issued, provide specific guidance to developed? 1224.3 What standards are used as employees responsible for applying the guidance for this part? The principal steps in developing schedule. 1224.10 What must agencies do to agency records schedules are listed implement an effective records PART 1225—SCHEDULING RECORDS below. Additional details that may be disposition program? helpful are provided in the NARA Authority: 44 U.S.C. 2111, 2904, 3102, and Sec. records management handbook, 3301. 1225.1 What are the authorities for this Disposition of Federal Records at http:// part? www.archives.gov/records-mgmt/ § 1224.1 What are the authorities for Part 1225.2 What definitions apply to this part? publications/disposition-of-federal- 1224? 1225.3 What standards are used as records/index.html. The statutory authorities for this part guidance for this part? (a) Conduct a functional or work 1225.10 What Federal records must be are 44 U.S.C. 2111, 2904, 3102, and process analysis to identify the 3301. scheduled? 1225.12 How are records schedules functions or activities performed by § 1224.2 What definitions apply to this developed? each organization or unit. Identify the part? 1225.14 How do agencies schedule recordkeeping requirements for each. permanent records? (b) Prepare an inventory for each See § 1220.18 of this subchapter for 1225.16 How do agencies schedule function or activity to identify records definitions of terms used in part 1224. temporary records? series, systems, and nonrecord § 1224.3 What standards are used as 1225.18 How do agencies request records materials. guidance for this part? disposition authority? (c) Determine the appropriate scope of 1225.20 When do agencies have to get GAO the records schedule items, e.g., These regulations conform with approval for schedules? guidance provided in ISO 15489– 1225.22 When must scheduled records be individual series/system component, 1:2001, Information and rescheduled? work process, group of related work documentation—Records management. 1225.24 When can an agency apply processes, or broad program area. Paragraphs 7.1 (Principles of records previously approved schedules to (d) Evaluate the period of time the management programmes), 8.3.7 electronic records? agency needs each records series or (Retention and disposition), 8.5 1225.26 How do agencies change a system based on use, value to agency disposition authority? (Discontinuing records systems), and 9.9 operations and oversight agencies, and (Implementing disposition) apply to Authority: 44 U.S.C. 2111, 2904, 2905, legal obligations. Determine whether a records disposition. 3102, and Chapter 33. fixed or flexible retention period is more appropriate. For records proposed as § 1224.10 What must agencies do to § 1225.1 What are the authorities for this temporary, specify a retention period implement an effective records disposition part? that meets agency business needs and program? The statutory authorities for this part legal requirements. For records In order to properly implement the are 44 U.S.C. 2111, 2904, 2905, 3102, proposed as permanent records, identify provisions of §§ 1220.30(c)(2), and Chapter 33. how long the records are needed by the

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agency before they are transferred to the records will be transferred to the (ii) If the records series, system, or NARA. National Archives of the United States, other aggregation is nonrecurring, i.e., (e) Determine whether the proposed and if appropriate, the time period for no additional records will be created or disposition should be limited to records returning inactive records to an acquired, the SF 115 must specify either in a specific medium. Records approved records storage facility. immediate destruction or destruction on schedules submitted to NARA for (ii) If the records series or system is a future date. approval on or after December 17, 2007, nonrecurring, i.e., no additional records (c) Determination. If NARA are media neutral, i.e., the disposition will be created or acquired, the agency determines that the proposed instructions apply to the described must propose either that the records be disposition is not consistent with the records in any medium, unless the transferred to the National Archives of value of the records, it will request that schedule identifies a specific medium the United States immediately or set the agency make appropriate changes. for a specific series. transfer for a fixed date in the future. (1) If NARA determines that records (f) Compile a schedule for records, (c) Determination. NARA will proposed as temporary merit permanent including descriptions and disposition appraise the records to determine if they retention and transfer to the National instructions for each item, using an SF have sufficient value to warrant archival Archives of the United States, the 115. permanent preservation. If NARA agency must change the disposition (g) Obtain internal clearances, as determines either that records are not instruction prior to approval of the SF appropriate, from program offices and permanent or that the transfer 115. other stakeholders such as the legal instructions are not appropriate: (2) If NARA and the agency cannot counsel, chief information officer, (1) NARA will notify the agency and agree on the retention period for an electronic systems manager, and agency negotiate an appropriate disposition. item(s), the items(s) will be withdrawn. historian, as appropriate. The disposition instruction on the SF In these cases, the agency must submit (h) Obtain approval from the 115 will be modified prior to NARA an SF 115 with a revised proposal for Government Accountability Office approval; or disposition; unscheduled records must (GAO), when required (see § 1225.20(a) (2) If NARA and the agency cannot be treated as permanent until a new for the categories that require GAO agree on the disposition instruction for schedule is approved. approval). an item(s), the items(s) will be § 1225.18 How do agencies request (i) Submit an SF 115 covering only withdrawn. In these cases, the agency records disposition authority? new or revised record items to NARA must submit an SF 115 with a revised (a) Federal agencies submit an SF 115 for approval (see § 1225.18(d)). proposal for disposition; unscheduled to NARA to request authority to (j) The disposition instructions on SF records must be treated as permanent schedule (establish the disposition for) 115s approved by the Archivist of the until a new schedule is approved. permanent and temporary records, United States are mandatory (44 U.S.C. either on a recurring or one-time basis. 3314). § 1225.16 How do agencies schedule temporary records? (b) SF 115s include only records not covered by the General Records § 1225.14 How do agencies schedule (a) Identification. Federal agencies Schedules (GRS) (see part 1227 of this permanent records? request authority to dispose of records, subchapter), deviations from the GRS (a) Identification. Identify potentially either immediately or on a recurring (see § 1227.12 of this subchapter), or permanent records. Useful guidelines in basis. Requests for immediate disposal previously scheduled records requiring the identification of permanent Federal are limited to existing records that no changes in retention periods or records may be found in the NARA longer accumulate. For recurring substantive changes in description. records management handbook, records, approved schedules provide (c) SF 115s do not include nonrecord Disposition of Federal Records (see continuing authority to destroy the material. The disposition of nonrecord § 1225.12 for the Web site address of records. The retention periods approved materials is determined by agencies and this publication). by NARA are mandatory, and the does not require NARA approval. (b) Requirements. Each item proposed agency must dispose of the records after (d) The following elements are for permanent retention on an SF 115 expiration of the retention period, required on a SF 115: must include the following: except as provided in §§ 1226.18 and (1) Title and description of the (1) Descriptive title of the records 1226.20 of this subchapter. records covered by each item. series, component of an information (b) Requirements. Each item on an SF (2) Disposition instructions that can system, or appropriate aggregation of 115 proposed for eventual destruction be readily applied. Records schedules series and/or information system must include the following: must provide for: components. The descriptive title must (1) Descriptive title familiar to agency (i) The destruction of records that no be meaningful to agency personnel; personnel; longer have sufficient value to justify (2) Complete description of the (2) Description of the records further retention (see § 1224.10(b) of this records including: including agency function, physical subchapter); and (i) Agency function; type(s) and informational content; (ii) The identification of potentially (ii) Physical type, if appropriate; (3) Disposition instructions developed permanent records and provisions for (iii) Inclusive dates; using the following guidelines: their transfer to the legal custody of (iv) Statement of how records are (i) If the record series, component of NARA. arranged; an electronic information system, or (3) Certification that the records (v) Statement of restrictions on access appropriate aggregation of series and/or proposed for disposition are not now under the FOIA if the records are automated system components is needed for the business of the agency or proposed for immediate transfer; current and continuing, the SF 115 must will not be needed after the specified (3) Disposition instructions developed include file breaks, retention period or retention periods. The signature of the using the following guidelines: event after which the records will be authorized agency representative on the (i) If the records series or system is destroyed, and, if appropriate, transfer SF 115 provides certification. current and continuing, the SF 115 must period for retiring inactive records to an (e) NARA will return SF 115s that are specify the period of time after which approved records storage facility. improperly prepared. The agency must

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make the necessary corrections and (2) The previously approved schedule approved schedule are required, follow resubmit the form to NARA. explicitly excludes electronic records. § 1225.26. (3) The electronic records consist of (c) Scanned images of temporary § 1225.20 When do agencies have to get program records maintained on an records, including temporary program GAO approval for schedules? agency Web site. records. The agency must apply the (a), Federal agencies must obtain the (4) The electronic records consist of previously approved schedule. If approval of the Comptroller General for temporary program records maintained changes in the approved schedule are the disposal of the following types of in a format other than scanned image required, follow § 1225.26. records: AND the previously approved schedule (d) Other temporary records (1) Program records less than 3 years is not media neutral. maintained in an electronic format old, other than scanned images. (2) Deviations from General Records § 1225.24 When can an agency apply (1) For temporary records that are Schedule 2–10 (see § 1227.10 of this previously approved schedules to covered by an item in a General Records subchapter for a definition of general electronic records? Schedule (other than those General records schedules), and If the conditions specified in Records Schedule items that exclude (b) This approval must be obtained § 1225.22(h) do not apply, the following electronic master files and databases) or before NARA will approve the conditions apply: an agency-specific schedule that disposition request. (a) Permanent records. pertains to administrative housekeeping (1) The agency may apply a activities, apply the previously § 1225.22 When must scheduled records previously approved schedule for hard approved schedule. If the electronic be rescheduled? copy records to electronic versions of records consist of information drawn Agencies must submit an SF 115, the permanent records when the from multiple hard copy series, apply Request for Records Disposition electronic records system replaces a the previously approved schedule item Authority, to NARA in the following single series of hard copy permanent with the longest retention period. situations: records or the electronic records consist (2) For temporary program records (a) If an interagency reorganization of information drawn from multiple covered by a NARA-approved media reassigns functions to an existing previously scheduled permanent series. neutral schedule item (i.e., the item department or agency, the gaining Agencies must notify the National appears on a schedule submitted to organization must submit an SF 115 to Archives and Records Administration, NARA for approval before December 17, NARA within one year of the Modern Records Programs (NWM), 8601 2007, that is explicitly stated to be reorganization. Schedules approved for Adelphi Road, College Park, MD 20740– media neutral, or it appears on a one department or independent agency 6001, phone number 301–837–1738, in schedule submitted to NARA for do not apply to records of other writing of series of records that have approval on or after December 17, 2007, departments or agencies. been previously scheduled as that is not explicitly limited to a specific (b) If a new department or agency permanent in hard copy form, including recordkeeping medium), apply the assumes functions from an existing one, special media records as described in 36 previously approved schedule. the new agency must schedule records CFR 1235.52 of this subchapter. An documenting the acquired functions and § 1225.26 How do agencies change a agency should send the notification to disposition authority? all other records not covered by the GRS the NARA unit that processes its within two years. schedules. The notification must be Agencies must submit an SF 115 to permanently change the approved (c) If an agency needs to deviate from submitted within 90 days of when the disposition of records. Disposition retention periods in the GRS. electronic recordkeeping system authorities are automatically superseded (d) If an agency needs to change becomes operational and must contain by approval of a later SF 115 for the retention periods for records previously the: same records unless the later SF 115 appraised as temporary by NARA. (i) Name of agency; (e) If an agency needs to change the (ii) Name of the electronic system; specifies an effective date. As provided approved disposition of records from (iii) Organizational unit(s) or agency in § 1226.20(c) of this subchapter, permanent to temporary or vice versa. program that records support; agencies are authorized to retain records (f) If an agency needs to modify the (iv) Current disposition authority eligible for destruction until the new description of records because the reference; and schedule is approved. (a) SF 115s that revise previously informational content of the records (v) Format of the records (e.g., approved disposition authorities must and/or the function documented by the database, scanned images, digital cite all of the following, if applicable: records changes. photographs, etc.). (1) The SF 115 and item numbers to (g) If an agency decides to change the (2) If the electronic records include be superseded; scope of the records schedule items to information drawn from both temporary (2) The General Records Schedules include a greater or lesser aggregation of and permanent hard copy series, an and item numbers that cover the records (see § 1225.12(c)), unless agency either may apply a previously records, if any; and § 1225.24 applies. approved permanent disposition (3) The current published records (h) Agencies must submit a new authority, after submitting the disposition manual and item numbers; schedule to NARA for electronic notification required by paragraph (a)(1) or the General Records Schedules and versions of previously scheduled of this section or may submit a new item numbers that cover the records. records if: schedule if the agency believes the (b) Agencies must submit with the SF (1) The content and function of the electronic records do not warrant 115 an explanation and justification for records have changed significantly (e.g., permanent retention. the change. the electronic records contain (b) Temporary still pictures, sound (c) For temporary retention of records information that is substantially recordings, motion picture film, and beyond their normal retention period, different from the information included video recordings. The agency must see § 1226.18 of this subchapter. in the hard copy series or are used for apply the previously approved schedule (d) Agencies must secure NARA different purposes). to digital versions. If changes in the approval of a change in the period of

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time that permanent records will remain specified in the schedule to conduct reorganization must promptly submit an in agency legal custody prior to transfer Government business, protect rights, SF 115 to NARA for disposition to the National Archives of the United avoid waste, and preserve permanent authorization. Until the new records States. To request approval, agencies records for transfer to the National schedule is approved, the records are send written requests to the National Archives of the United States. unscheduled. See § 1225.22 of this Archives and Records Administration, subchapter. Modern Records Programs (NWM), 8601 § 1226.12 How do agencies disseminate approved schedules? (d) Unless otherwise specified, newly Adelphi Road, College Park, MD 20740– approved disposition authorities apply 6001, phone number (301) 837–1738. (a) Agencies must issue disposition retroactively to all existing records as NARA approval is documented as an authorities through their internal described in the schedule. annotation to the schedule item. A new directives system within six months of approval of the SF 115 or GRS to ensure (e) When required by court order (i.e., SF 115 is not required to extend the order for expungement or destruction), time period of agency legal custody. proper distribution and application of the schedule. The directive must cite an agency may destroy temporary records before their NARA-authorized PART 1226—IMPLEMENTING the legal authority (GRS or SF 115 and disposition date. In accordance with DISPOSITION item numbers) for each schedule item covering records. § 1230.14 of this subchapter, an agency Sec. (b) Agencies must send, via link or must notify the National Archives and 1226.1 What are the general authorities for file, an electronic copy of each Records Administration, Modern this part? Records Programs (NWM), 8601 1226.2 What definitions apply to this part? published agency schedule, directive, and other policy issuance relating to Adelphi Road, College Park, MD 20740– 1226.3 What standards are used as 6001, phone number (301) 837–1738, guidance for this part? records disposition to NARA at 1226.10 Must agencies apply approved [email protected] when when permanent or unscheduled schedules to their records? the directive, manual, or policy issuance records are to be destroyed in response 1226.12 How do agencies disseminate is posted or distributed. to a court order. If the records have approved schedules? (c) The submission must include the significant historical value, NARA will 1226.14 What are the limitations in name, title, agency, address, and phone promptly advise the agency of any applying approved records schedule? concerns over their destruction. 1226.16 Does NARA ever withdraw number of the submitter. If the disposition authority? comprehensive records schedule or § 1226.16 Does NARA ever withdraw 1226.18 When may agencies temporarily other policy issuance is posted on a disposition authority? extend retention periods? publicly available Web site, the agency (a) When required to ensure the 1226.20 How do agencies temporarily must provide the full Internet address preservation of Government records, or extend retention periods? (URL). 1226.22 When must agencies transfer when required by an emergency, or to permanent records? § 1226.14 What are the limitations in maintain efficiency of Government 1226.24 How must agencies destroy applying approved records schedules? operations, NARA will withdraw temporary records? Agencies must apply the approved disposal authorizations in approved 1226.26 How do agencies donate schedules (44 U.S.C. 2909). This temporary records? records disposition schedules to their agency’s records as follows withdrawal may apply to particular Authority: 44 U.S.C. 2111, 2904, 3102, and (a) Records described by items items on agency schedules or may apply 3301. marked ‘‘disposition not approved’’ or to all existing authorizations for a § 1226.1 What are the general authorities ‘‘withdrawn’’ may not be destroyed specified type of record in any or all for this part? until a specific disposition has been agencies. The statutory authorities are 44 U.S.C. approved by NARA. (b) To both impose and rescind the 2107, 2111, 2904, 3102, 3301 and 3302. (b) Disposition authorities for items withdrawal, NARA will notify the on approved SF 115s that specify an affected agency or agencies in writing, § 1226.2 What definitions apply to this organizational component of the either by letter or NARA bulletin. part? department or independent agency as See § 1220.18 of this subchapter for § 1226.18 When may agencies temporarily the creator or custodian of the records extend retention periods? definitions of terms used throughout may be applied to the same records after Subchapter B, including part 1226. internal reorganization, but only if the (a) Agencies may temporarily retain nature, content, and functional records approved for destruction § 1226.3 What standards are used as beyond their NARA-approved retention guidance for this part? importance of the records remain the period if special circumstances alter the These regulations conform with same. Authority approved for items described in a functional format may be normal administrative, legal, or fiscal guidance in ISO 15489–1:2001, value of the records. Information and documentation— applied to any organizational (1) Agencies must not retain records Records management, sections 8.3.7 component within the department or whose disposal after a specified period (Retention and disposition), 8.5 independent agency that is responsible is required by statute, unless retention (Discontinuing records systems), 9.2 for the relevant function. is ordered by a Court. (Determining how long to retain (c) Disposition authorities approved records), and 9.9 (Implementing for one department or independent (2) In determining whether or not to disposition). agency may not be applied to records of temporarily extend the retention period another department or agency. of records, agencies must ensure that the § 1226.10 Must agencies apply approved Departments or agencies that acquire extension of retention is consistent with schedules to their records? records from another department or the requirement contained in 5 U.S.C. The application of approved agency, and/or continue creating the 552a (Privacy Act of 1974, as amended) schedules is mandatory except as same series of records previously that records concerning individuals are provided in §§ 1226.16 and 1226.18. created by another department or maintained only if relevant and Federal records must be retained as agency through interagency necessary to accomplish a purpose of

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the agency that is required by law or accordance with procedures specified has requested them. Records that are not Executive order. under § 1235.12 of this subchapter. eligible for disposal cannot be donated. (b) If the records that are to be (b) Agencies request the approval of temporarily retained beyond their § 1226.24 How must agencies destroy temporary records? such a donation by sending a letter to approved destruction date have been the National Archives and Records transferred to records storage facilities, (a) Sale or salvage of unrestricted Administration, Modern Records agencies must notify the facility. records—(1) Paper records. Paper Programs (NWM), 8601 Adelphi Road, (c) Once the special circumstances records to be destroyed normally must College Park, MD 20740–6001, phone that require extended retention of be sold as wastepaper, or otherwise number (301) 837–1738. The request records have elapsed, agencies must salvaged. All sales must follow the must include: established procedures for the sale of destroy the records in accordance with (1) The name of the department or surplus personal property. (See 41 CFR the NARA-approved disposition agency, and relevant subdivisions, part 101—45, Sale, Abandonment, or instructions. having custody of the records; (d) Agencies must submit an SF 115 Destruction of Personal Property.) The to NARA to change schedule provisions contract for sale must prohibit the resale (2) The name and address of the on a continuing basis in accordance of all records for use as records or proposed recipient of the records; with § 1225.26 of this subchapter. documents. (3) A list containing: Agencies may retain records eligible for (2) Records on electronic and other (i) Description of the records to be destruction until the new schedule is media. Records other than paper records transferred, approved. (audio, visual, and electronic records on (ii) The inclusive dates of the records, physical media data tapes, disks, and (iii) The SF 115 or GRS and item § 1226.20 How do agencies temporarily diskettes) may be salvaged and sold in extend retention periods? numbers that authorize destruction of the same manner and under the same the records; (a) Agencies must secure NARA conditions as paper records. (4) A statement providing evidence: written approval to retain records series (b) Destruction of unrestricted or systems that are eligible for (i) That the proposed donation is in records. Unrestricted records that the best interests of the Government, destruction under NARA-approved agencies cannot sell or otherwise schedules except when: salvage must be destroyed by burning, (ii) That the proposed recipient agrees (1) The agency has requested a change pulping, shredding, macerating, or other not to sell the records as records or in the records schedule in accordance suitable means authorized by documents, and with § 1225.26 of this subchapter, in implementing regulations issued under (iii) That the donation will be made which case the agency is authorized to E.O. 12958, as amended or its successor. without cost to the U.S. Government; retain records eligible for destruction (5) A certification that: until the new SF 115 is approved; (c) Destruction of classified or (i) The records contain no information (2) The records will be needed for less otherwise restricted records. If the the disclosure of which is prohibited by than one year; or records are restricted because they are law or contrary to the public interest, (3) A court order requires retention of national security classified or exempted and/or the records. from disclosure by statute, including the (b) To request an extension, agencies Privacy Act, or regulation: (ii) The records proposed for transfer must send a letter to the National (1) Paper records. For paper records, to a person or commercial business are Archives and Records Administration, the agency or its wastepaper contractor directly pertinent to the custody or Modern Records Programs (NWM), 8601 must definitively destroy the operations of properties acquired from Adelphi Road, College Park, MD 20740– information contained in the records by the Government, and/or 6001, phone number (301) 837–1738. one of the means specified in paragraph (iii) A foreign government desiring the Along with a justification, the request (b) of this section and their destruction records has an official interest in them. must include: must be witnessed either by a Federal (c) NARA will determine whether the (1) A concise description of the employee or, if authorized by the donation is in the public interest and records series for which the extension is agency, by a contractor employee. notify the requesting agency of its requested. (2) Electronic records. Electronic decision in writing. If NARA determines (2) A citation to the agency records records scheduled for destruction must such a proposed donation is contrary to schedule or the GRS currently governing be disposed of in a manner that ensures the public interest, the agency must disposition of the records; protection of any sensitive, proprietary, destroy the records in accordance with (3) A statement of the estimated or national security information. the appropriate disposition authority. period of time that the records will be Magnetic recording media previously required; and used for electronic records containing PART 1227—GENERAL RECORDS (4) For records in the agency’s sensitive, proprietary, or national SCHEDULES custody, a statement of the current and security information must not be reused if the previously recorded information Sec. proposed physical location of the 1227.1 What are the authorities for Part records. can be compromised in any way by 1227? (c) Agencies must ensure that records reuse of the media. 1227.2 What definitions apply to this part? in records storage facilities are retained § 1226.26 How do agencies donate 1227.3 What standards are used as for the duration of the extension. temporary records? guidance for this part? 1227.10 What are General Records § 1226.22 When must agencies transfer (a) Agencies must obtain written Schedules (GRS)? permanent records? approval from NARA before donating 1227.12 When must agencies apply the All records scheduled as permanent records eligible for disposal to an GRS? must be transferred to the National appropriate person, organization, 1227.14 How do I obtain copies of the Archives of the United States after the institution, corporation, or government GRS? period specified on the SF 115 in (including a foreign government) that Authority: 44 U.S.C. 3303a(d).

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§ 1227.1 What are the authorities for Part 1:2001, Information and transfer to the National Archives of the 1227? documentation—Records management, United States of permanent records that The statutory authority for this part is paragraphs 9.2 (Determining how long are common to several or all agencies. 44 U.S.C. 3303a(d). to retain records) and 9.9 (Implementing disposition). § 1227.12 When must agencies apply the § 1227.2 What definitions apply to this GRS? part? § 1227.10 What are General Records See § 1220.18 of this subchapter for Schedules (GRS)? (a) Agencies apply the disposition definitions of terms used in part 1227. instructions of the GRS, as provided in General Records Schedules (GRS) are the following table. § 1227.3 What standards are used as schedules issued by the Archivist of the guidance for this part? United States that authorize, after These regulations conform with specified periods of time, the guidance provided in ISO 15489– destruction of temporary records or the

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

(1) The new or revised GRS states that the provisions must be fol- All agencies must follow the disposition instructions of the GRS, re- lowed without exception. gardless of whether or not they have existing schedules. (2) Your agency does not have an existing schedule for these records. Your agency must follow the disposition instructions of the 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 or revised Your agency may follow the disposition instructions in either the GRS GRS permits use of existing agency-specific schedules. or the existing agency schedule, but it must follow the same instruc- tions 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 ad- No action is required. dressed by that GRS.

(b) Except as provided in the table in 1228.12 How do agencies obtain approval scanning the records in response to a paragraph (a), agencies must incorporate to loan permanent or unscheduled loan request. in their disposition manual or otherwise records? disseminate new and revised GRS 1228.14 How will NARA handle a loan § 1228.12 How do agencies obtain request? approval to loan permanent or unscheduled within 6 months after NARA has issued 1228.16 When must agencies retrieve records? the GRS Transmittal. records that have been loaned? (a) An agency proposing to loan (c) NARA may, at its discretion, apply Authority: 44 U.S.C. 2904. permanent or unscheduled records must the provisions of the GRS to records in prepare a written loan agreement with its legal custody, subject to the § 1228.1 What are the authorities for this the proposed recipient. The agreement provisions of § 1235.34 of this part? must include: subchapter. The statutory authority for this part is (1) The name of the department or § 1227.14 How do I obtain copies of the 44 U.S.C. 2904. agency and subdivisions having custody GRS? § 1228.2 What definitions apply to this of the records; (a) The GRS and instructions for their part? (2) The name and address of the proposed recipient of the records; use are available online at http:// See § 1220.18 of this subchapter for (3) A list containing: www.archives.gov/records-mgmt/ardor/ definitions of terms used in part 1228. records-schedules.html. They are also (i) Identification of the records to be available by writing to the National § 1228.8 Do loans of temporary records loaned, by series or system; Archives and Records Administration, require NARA approval? (ii) The inclusive dates for each series Modern Records Programs (NWM), 8601 Loans of temporary records between or system; Adelphi Road, College Park, MD 20740– Federal agencies or to non-Federal (iii) The volume and media of the 6001, phone number (301) 837–1738. recipients do not require approval from records to be loaned; and (b) NARA distributes new and revised NARA. The lending agency is (iv) The NARA disposition job (SF GRS to Federal agencies under responsible for documenting the loan 115) and item numbers covering the sequentially numbered GRS and return of the records. records, if any. transmittals. (4) A statement of the purpose and § 1228.10 When do loans of permanent duration of the loan; PART 1228—LOAN OF PERMANENT and unscheduled records require NARA (5) A statement specifying any AND UNSCHEDULED RECORDS approval? restrictions on the use of the records Loans of permanent or unscheduled and how these restrictions will be Sec. records between Federal agencies or to imposed by the recipient; 1228.1 What are the authorities for this non-Federal recipients require prior (6) A certification that the records will part? written approval from NARA. The loan be stored in areas with security and 1228.2 What definitions apply to this part? 1228.8 Do loans of temporary records of permanent or unscheduled records environmental controls equal to those require NARA approval? increases the likelihood of the records specified in part 1234 of this 1228.10 When do loans of permanent and becoming lost, misplaced, or subchapter; and unscheduled records require NARA incorporated into other files. Agencies (7) A signature block for the Archivist approval? should consider reproducing or of the United States. The loan must not

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take place until the Archivist has signed § 1229.1 What is the scope of this part? historical, or other value to warrant the agreement. This part describes certain conditions their continued preservation. (b) On request, NARA may allow an under which records may be destroyed (b) Within six months after the agency to prepare an annual loan without regard to the provisions of part destruction of any records under this agreement covering multiple transfers 1226 of this subchapter. authorization, the agency official who from the same series of records to directed the destruction must submit to another single Federal agency. § 1229.2 What are the authorities for this the National Archives and Records (c) The agency must send a written part? Administration, Modern Records request to the National Archives and The statutory authorities for this part Programs (NWM), 8601 Adelphi Road, Records Administration, Modern are 44 U.S.C. 3310 and 3311. College Park, MD 20740–6001, phone Records Programs (NWM), 8601 § 1229.3 What definitions apply to this number (301) 837–1738, a written Adelphi Road, College Park, MD 20740– part? statement explaining the reasons for the 6001, phone number (301) 837–1738, destruction and a description of the transmitting the proposed loan See § 1220.18 of this subchapter for records and how, when, and where the agreement, citing the rationale for not definitions of terms used in part 1229. destruction was accomplished. providing copies in place of the original § 1229.10 What steps must be taken when records, and specifying the name, title, records are a continuing menace to health PART 1230—UNLAWFUL OR and phone number of an agency contact. or life, or to property? ACCIDENTAL REMOVAL, DEFACING, ALTERATION, OR DESTRUCTION OF The request must be submitted or When NARA and the agency that has RECORDS approved by the individual authorized custody of them jointly determine that to sign records schedules as described records in the custody of an agency of Sec. in § 1220.34(b) of this subchapter. the U.S. Government are a continuing 1230.1 What are the authorities for part § 1228.14 How will NARA handle a loan menace to human health or life, or to 1230? request? property, NARA will authorize the 1230.2 What standards are used as guidance for this part? (a) NARA will review the request and, agency to eliminate the menace immediately by any method necessary: 1230.3 What definitions apply to this part? if it is approved, return the signed 1230.10 Who is responsible for preventing agreement to the agency within 30 days. (a) When an agency identifies records the unlawful or accidental removal, (b) NARA will deny the request that pose a continuing menace to human defacing, alteration, or destruction of within 30 days if the records are due or health or life, or to property, the records records? past due to be transferred to the officer or other designee must 1230.12 What are the penalties for unlawful National Archives of the United States immediately notify the National or accidental removal, defacing, in accordance with part 1235 of this Archives and Records Administration, alteration, or destruction of records? Modern Records Programs (NWM), 8601 1230.14 How do agencies report incidents? subchapter, if the loan would endanger 1230.16 How does NARA handle the records, or if the loan would Adelphi Road, College Park, MD 20740– 6001, phone number (301) 837–1738. allegations of damage, alienation, or otherwise violate the regulations in 36 unauthorized destruction of records? CFR chapter XII, subchapter B. NARA The notice must specify the description 1230.18 What assistance is available to will notify the agency in writing if it of the records, their location and agencies to recover unlawfully removed disapproves the loan and the reasons for quantity, and the nature of the menace. records? Notice may be given via e-mail to the disapproval of the loan. Authority: 44 U.S.C. 3105 and 3106. [email protected], or via § 1228.16 When must agencies retrieve phone, (301) 837–1738, or fax, (301) § 1230.1 What are the authorities for part records that have been loaned? 837–3698, to NWM or the NARA 1230? An agency must contact the recipient Regional Administrator. The statutory authorities for this part of loaned permanent or unscheduled (b) If NARA concurs in a are 44 U.S.C. 3105 and 3106. records 30 days prior to the expiration determination that the records must be of the loan period (as stated in the loan destroyed, NARA will notify the agency § 1230.2 What standards are used as agreement) to arrange for the return of to immediately destroy the records. guidance for this part? the records. If the agency extends the (c) If NARA does not concur that the These regulations conform with duration of the loan, it must notify menace must be eliminated by guidance provided in ISO 15489– NARA (see § 1228.12(b)) in writing, destruction of the records, NARA will 1:2001, par. 6.3 (Responsibilities), 7.2 specifying the reason for the extension advise the agency on remedial action to (Characteristics of a record), 8.2 and providing the new expiration date address the menace. (Records systems characteristics), and of the loan. 8.3 (Designing and implementing § 1229.12 What are the requirements records systems). PART 1229—EMERGENCY during a state of war or threatened war? AUTHORIZATION TO DESTROY (a) Destruction of records outside the § 1230.3 What definitions apply to this RECORDS territorial limits of the continental part? United States is authorized whenever, (a) See § 1220.18 of this subchapter Sec. during a state of war between the United for definitions of terms used throughout 1229.1 What is the scope of this part? Subchapter B, including part 1230. 1229.2 What are the authorities for this States and any other nation or when part? hostile action appears imminent, the (b) As used in part 1230— 1229.3 What definitions apply to this part? head of the agency that has custody of Alteration means the unauthorized 1229.10 What steps must be taken when the records determines that their annotation, addition, or deletion to a records are a continuing menace to retention would be prejudicial to the record. health or life, or to property? interest of the United States, or that they Deface means to obliterate, mar, or 1229.12 What are the requirements during a occupy space urgently needed for spoil the appearance or surface of a state of war or threatened war? military purposes and are without record that impairs the usefulness or Authority: 44 U.S.C. 3310 and 3311. sufficient administrative, fiscal, legal, value of the record.

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Removal means selling, donating, (1) A complete description of the § 1231.1 What is the authority for part loaning, transferring, stealing, or records with volume and dates if 1231? otherwise allowing a record to leave the known; The authority for this part is 44 U.S.C. custody of a Federal agency without the (2) The office maintaining the records; 2908. permission of the Archivist of the (3) A statement of the exact United States. circumstances surrounding the removal, § 1231.2 What definitions apply to this part? Unlawful or accidental destruction defacing, alteration, or destruction of (also called unauthorized destruction) records; See § 1220.18 of this subchapter for means disposal of an unscheduled or (4) A statement of the safeguards definitions of terms used throughout permanent record; disposal prior to the established to prevent further loss of Subchapter B, including this part. end of the NARA-approved retention documentation; and § 1231.10 Who has the authority to period of a temporary record (other than (5) When appropriate, details of the approve the transfer of records from the court-ordered disposal under actions taken to salvage, retrieve, or custody of one executive agency to § 1226.14(d) of this subchapter); and reconstruct the records. another? disposal of a record subject to a FOIA (b) The report must be submitted or NARA must approve in writing the request, litigation hold, or any other approved by the individual authorized transfer of records from the custody of hold requirement to retain the records. to sign records schedules as described one executive agency to another, except in § 1220.34(b) of this subchapter. § 1230.10 Who is responsible for as provided in § 1231.18(a). preventing the unlawful or accidental § 1230.16 How does NARA handle § 1231.12 How do executive agencies removal, defacing, alteration, or destruction allegations of unlawful or accidental request to transfer records to another of records? removal, defacing, alteration, or executive agency? destruction? The heads of Federal agencies must: An executive agency that proposes to (a) Prevent the unlawful or accidental Upon receiving any credible transfer records to another agency must removal, defacing, alteration, or information that records are at risk of request approval of the transfer of destruction of records. Section actual, impending, or threatened records in writing from the National 1222.24(a)(6) of this subchapter damage, alienation, or unauthorized Archives and Records Administration, prohibits removing records from the destruction, NARA will contact the Modern Records Programs (NWM), 8601 legal custody of the agency. Records agency as follows: Adelphi Road, College Park, MD 20740– must not be destroyed except under the (a) If the threat has not yet resulted in 6001, phone number (301) 837–1738. provisions of NARA-approved agency damage, removal, or destruction, NARA The request must include: records schedules or the General will contact the agency by phone (a) A concise description of the Records Schedules issued by NARA; promptly and follow up in writing records to be transferred, including the (b) Take adequate measures to inform within five business days. volume in cubic feet; all employees and contractors of the (b) If records have allegedly been (b) A statement of the restrictions provisions of the law relating to damaged, removed, or destroyed, NARA imposed on the use of records; unauthorized destruction, removal, will notify the agency in writing (c) A statement of the agencies and alteration or defacement of records; promptly with a request for a response persons using the records and the (c) Implement and disseminate within 30 days. purpose of this use; policies and procedures to ensure that § 1230.18 What assistance is available to (d) A statement of the current and records are protected against unlawful agencies to recover unlawfully removed proposed physical and organizational or accidental removal, defacing, records? locations of the records; alteration and destruction; and NARA will assist the head of the (e) A justification for the transfer (d) Direct that any unauthorized agency in the recovery of any including an explanation of why it is in removal, defacing, alteration or unlawfully removed records, including the best interests of the Government; destruction be reported to NARA. contacting the Attorney General, if and appropriate. (f) Copies of the concurrence in the § 1230.12 What are the penalties for transfer by the heads of all agencies unlawful or accidental removal, defacing, alteration, or destruction of records? PART 1231—TRANSFER OF RECORDS involved in the proposed transfer. FROM THE CUSTODY OF ONE § 1231.14 May the records of terminated The penalties for the unlawful or EXECUTIVE AGENCY TO ANOTHER accidental removal, defacing, alteration, agencies be transferred to another agency? or destruction of Federal records or the Sec. The records of executive agencies attempt to do so, include a fine, 1231.1 What is the authority for part 1231? whose functions are terminated or are in imprisonment, or both (18 U.S.C. 641 1231.2 What definitions apply to this part? process of liquidation may be and 2071). 1231.10 Who has the authority to approve transferred to another executive agency the transfer of records from the custody that inherits the function. All such § 1230.14 How do agencies report of one executive agency to another? incidents? 1231.12 How do executive agencies request transfers must be made in accordance with the provisions of this part. The agency must report promptly any to transfer records to another executive unlawful or accidental removal, agency? § 1231.16 What restrictions are there on 1231.14 May the records of terminated use of transferred records? defacing, alteration, or destruction of agencies be transferred to another records in the custody of that agency to agency? Restrictions imposed under a statute the National Archives and Records 1231.16 What restrictions are there on use or Executive order must continue to be Administration, Modern Records of transferred records? imposed after the transfer. Restrictions Programs (NWM), 8601 Adelphi Road, 1231.18 When are records transferred imposed by agency determination must College Park, MD 20740–6001, phone between executive agencies without also continue, unless the restrictions are number 301–837–1738. NARA approval? removed by agreement between the (a) The report must include: Authority: 44 U.S.C. 2908. agencies concerned.

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§ 1231.18 When are records transferred 1232.14 What requirements must an agency storage facility remain in the legal between executive agencies without NARA meet before it transfers records to a custody of the agency. approval? records storage facility? Records are transferred between 1232.16 What documentation must an (a) NARA Federal Records Centers. executive agencies without NARA agency create before it transfers records NARA owns or operates records centers to a records storage facility? approval when: for the storage, processing, and servicing 1232.18 What procedures must an agency of records for Federal agencies under (a) Records are transferred to a NARA follow to transfer records to an agency or agency-operated records center or to records center or commercial records the authority of 44 U.S.C. 2907. These the National Archives of the United storage facility? NARA records centers include a States in accordance with Parts 1232, National Personnel Records Center that Authority: 44 U.S.C. 2907 and 3103. 1233, and 1235 of this subchapter; contains designated records of the (b) Temporary records are loaned for § 1232.1 What are the authorities for part Department of Defense and the Office of official use; 1232? Personnel Management and other (c) The transfer of records or functions The statutory authorities for this part designated records pertaining to former or both is required by statute, Executive are 44 U.S.C. 2907 and 3103. Federal civilian employees. A list of Order, Presidential reorganization plan, § 1232.2 What definitions apply to this NARA Federal Records Centers is or Treaty, or by specific determinations available from the NARA Web site at made thereunder; part? http://www.archives.gov/locations/ (d) The records are transferred See § 1220.18 of this subchapter for between two components of the same definitions of terms used throughout index.html and also in the U.S. executive department; or Subchapter B, including part 1232. Government Manual, which is for sale (e) Records accessioned into the from the Superintendent of Documents, § 1232.3 What standards are used as U.S. Government Printing Office, Mail National Archives of the United States guidance for this part? are later found to lack sufficient value Stop: SSOP, Washington, DC 20402– for continued retention in the National These regulations conform with 9328, and is available on the Internet Archives. The disposition of such guidance provided in ISO 15489–1:2001 from http://www.access.gpo.gov/nara/ records is governed by § 1235.34 of this Paragraphs 7.1 (Principles of records index.html. subchapter. management programmes), 8.3.3 (Physical storage medium and (b) Records centers operated by or on PART 1232—TRANSFER OF RECORDS protection), 8.3.6 (Access, retrieval and behalf of one or more Federal agencies TO RECORDS STORAGE FACILITIES use), 8.3.7 (Retention and disposition), other than NARA. 9.6 (Storage and handling), and 9.8.3 (c) Commercial records storage Sec. (Location and tracking) apply to records facilities operated by private entities. 1232.1 What are the authorities for part creation and maintenance. 1232? § 1232.12 Under what conditions may 1232.2 What definitions apply to this part? 1232.10 Where can a Federal agency Federal records be stored in records 1232.3 What standards are used as guidance transfer records for storage? storage facilities? for this part? Federal agencies may store records in 1232.10 Where can a Federal agency the following types of records storage The following chart shows what transfer records for storage? records can be stored in a records 1232.12 Under what conditions may facilities, so long as the facilities meet Federal records be stored in records the facility standards in 36 CFR part storage facility and the conditions that storage facilities? 1234. Records transferred to a records 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 Per- Any storage facility that meets the provisions of 36 CFR part 1234. sonnel 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 environmental controls (see 36 CFR (d) Ensure that NARA-approved agency meet before it transfers records to parts 1236 and 1237). retention periods are implemented a records storage facility? (b) To transfer unscheduled records, properly and that records documenting An agency must meet the following notify the National Archives and final disposition actions (destruction or requirements before it transfers records Records Administration, Modern transfer to the National Archives of the to a records storage facility: Records Programs (NWM), 8601 United States) are created and maintained. (a) Ensure that the requirements of 36 Adelphi Road, College Park, MD 20740– CFR part 1234 are met. Special attention 6001, phone number (301) 837–1738, in § 1232.16 What documentation must an must be paid to ensuring appropriate writing prior to the transfer. The agency create before it transfers records to storage conditions for records on non- notification must identify the records a records storage facility? paper based media (e.g., film, audio storage facility and include a copy of the (a) Documentation must include for tape, magnetic tape), especially those information required by § 1232.16(a). each individual records series spanning that are scheduled for long-term or (c) For all records being transferred, one or more consecutive years permanent retention, as those records create documentation sufficient to transferred to storage: typically require more stringent identify and locate files. (See § 1232.16.) (1) Creating office;

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(2) Series title; compliance. An agency must remove applicable laws, Executive orders, or (3) Description (in the case of records promptly from a facility if regulations. permanent or unscheduled records, the deficiencies identified during an (f) Agencies must ensure that description must include a folder title inspection are not corrected within six temporary records, including restricted list of the box contents or equivalent months of issuance of the report. records (security classified or exempted detailed records description); (b) For temporary records, the agency from disclosure by statute, including the (4) Date span; must make available to NARA on Privacy Act of 1974, or regulation), are (5) Physical form and medium of request the documentation specified in destroyed in accordance with the records (e.g., paper, motion picture film, § 1232.16. requirements specified in § 1226.24 of sound recordings, photographs, or (c) Retain temporary records until the this subchapter. digital images); expiration of their NARA-approved (g) Agencies must ensure that (6) Volume; retention period and no longer, except emergency operating vital records, as (7) Citation to NARA-approved as provided for in § 1226.18 of this defined in 36 CFR part 1223, that are records schedule or agency records subchapter. transferred to an agency records center disposition manual (unscheduled (d) Ensure that NARA-approved or commercial records storage facility records must cite the date the agency retention periods are implemented are available in accordance with 36 CFR notified NARA or, if available, the date properly and that records documenting 1223.24. the SF 115 was submitted to NARA); final disposition actions (destruction or (h) Provide access to appropriate (8) Restrictions on access if transfer to the National Archives of the NARA staff to records wherever they are applicable; United States) are created and located in order to conduct an (9) Disposition (‘‘permanent,’’ maintained as required by 36 CFR inspection in accordance with 36 CFR ‘‘temporary,’’ or ‘‘unscheduled; SF 115 1232.14. part 1239 or to process a request for pending’’); (1) Agencies must establish records disposition authority. (10) Date of disposition action procedures that ensure that temporary (transfer to the National Archives of the records are destroyed in accordance PART 1233—TRANSFER, USE, AND United States or destruction); with NARA-approved records schedules DISPOSITION OF RECORDS IN A (11) Physical location, including and that NARA-approved changes to NARA FEDERAL RECORDS CENTER name and address of facility; and schedules, including the General Records Schedules, are applied to Sec. (12) Control number or identifier used 1233.1 What are the authorities for part to track records. records in agency records centers or commercial records storage facilities in 1233? (b) In the case of permanent and 1233.2 What definitions apply to this part? unscheduled records, provide copies of a timely fashion. Procedures must 1233.3 What standards are used as guidance such documentation to NARA and include a requirement that the agency for this part? advise NARA in writing of the new records center or commercial records 1233.10 How does an agency transfer location whenever the records are storage facility notify agency records records to a NARA Federal Records moved to a new storage facility. For managers or the creating office before Center? the disposal of temporary records unless 1233.12 How does an agency transfer vital permanent records, the agency must records to a NARA Federal Records transmit this documentation to the disposal of temporary records is initiated by the agency. Center? National Archives and Records 1233.14 What personnel records must be Administration, Modern Records (2) Move temporary records that are subsequently reappraised as permanent transferred to the National Personnel Programs (NWM), 8601 Adelphi Road, Records (NPRC)? College Park, MD 20740–6001, phone to a facility that meets the 1233.16 How does an agency transfer number (301) 837–1738, no later than 30 environmental control requirements for records to the National Personnel days after records are transferred to the permanent records in § 1234.14 of this Records Center (NPRC)? agency records center or commercial subchapter within one year of their re- 1233.18 What reference procedures are appraisal, if not already in such a used in NARA Federal Records Centers? records storage facility. 1233.20 How are disposal clearances (1) Retain temporary records until the facility. (Paper-based permanent records in an existing records storage facility managed for records in NARA Federal expiration of their NARA-approved Records Centers? retention period and no longer, except that does not meet the environmental as provided for in § 1226.18 of this control requirements in § 1234.14 of this Authority: 44 U.S.C. 2907 and 3103. subchapter on October 1, 2009, must be subchapter. § 1233.1 What are the authorities for part (2) Transfer permanent records to the moved from that facility no later than 1233? National Archives of the United States February 28, 2010.) (3) Agencies must establish The statutory authorities for this part in accordance with 36 CFR part 1235. procedures to ensure that the agency are 44 U.S.C. 2907 and 3103. § 1232.18 What procedures must an records centers or commercial records § 1233.2 What definitions apply to this agency follow to transfer records to an storage facilities transfer permanent part? agency records center or commercial records to the National Archives of the See § 1220.18 of this subchapter for records storage facility? United States as individual series definitions of terms used throughout Federal agencies must use the spanning one or more years and in Subchapter B, including part 1233. following procedures to transfer records accordance with the provisions of part to an agency records center or 1235 of this subchapter. § 1233.3 What standards are used as commercial records storage facility: (e) Agencies must ensure that records guidance for this part? (a) Agreements with agency records that are restricted because they are These regulations conform with centers or contracts with commercial security classified or exempt from guidance provided in ISO 15489– records storage facilities must disclosure by statute, including the 1:2001. Paragraphs 7.1 (Principles of incorporate the standards in 36 CFR part Privacy Act of 1974 (5 U.S.C. 552a, as records management programmes), 8.3.3 1234 and allow for inspections by the amended), or regulation are stored and (Physical storage medium and agency and NARA to ensure maintained in accordance with protection), 8.3.6 (Access, retrieval and

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use), 8.3.7 (Retention and disposition), § 1233.14 What personnel records must be NPRC Web site (http:// 9.6 (Storage and handling), and 9.8.3 transferred to the National Personnel www.archives.gov/facilities/mo/ (Location and tracking) apply to records Records Center (NPRC)? st_louis.html). creation and maintenance. (a) Civilian personnel files: (1) General Records Schedules 1 and § 1233.18 What reference procedures are § 1233.10 How does an agency transfer 2 specify that certain Federal civilian used in NARA Federal Records Centers? records to a NARA Federal Records personnel, medical, and pay records (a) Agency records transferred to a Center? must be centrally stored at the National NARA Federal Records Center remain in An agency transfers records to a Personnel Records Center headquartered the legal custody of the agency. NARA NARA Federal Records Center using the in St. Louis, MO. acts as the agency’s agent in maintaining following procedures: (2) [Reserved] the records. NARA will not disclose the (a) General. NARA will ensure that its (b) The following types of medical record except to the agency that records centers meet the facilities treatment records are transferred to the maintains the record, or under rules standards in 36 CFR part 1234, which NPRC: established by that agency which are meets the agency’s obligation in (1) Inpatient (hospitalization) records consistent with existing laws. § 1232.14(a) of this subchapter. (b) For general reference requests (b) Agencies must use their created for all categories of patients (active duty personnel, retirees, and agencies may use an FRCP electronic designated NARA Federal Records system or, the Optional Form (OF) 11, Center(s) as specified in their agency dependents) receiving inpatient treatment and extended ambulatory Reference Request—Federal Records agreement with NARA (Federal Records Centers, a form jointly designated by Center Program (FRCP)) for the storage procedures; and (2) Outpatient medical treatment that agency and NARA, or their of records. electronic equivalents. (c) Transfers to NARA Federal records for military retirees, dependents, and other civilians treated (c) For civilian personnel records, Records Centers must be preceded by agencies must use the following forms: the submission of a Standard Form (SF) at military health care facilities (excludes active duty military personnel (1) Standard Form 127, Request for 135, Records Transmittal and Receipt, Official Personnel Folder (Separated or an electronic equivalent. Preparation at time of military discharge or retirement). Employee), to request transmission of and submission of this form will meet personnel folders of separated the requirements for records description § 1233.16 How does an agency transfer employees stored at the National provided in § 1232.14(c) of this records to the National Personnel Records Personnel Records Center. Additional subchapter, except the folder title list Center (NPRC)? instructions on requesting OPFs are required for permanent and Agencies must use the following available online at http:// unscheduled records. A folder title list procedures when transferring records to www.archives.gov/st-louis/civilian- is also required for records that are the NPRC: personnel/federal-agencies.html. scheduled for sampling or selection (a) Civilian personnel files. (2) Standard Form 184, Request for after transfer. (1) Forward the official personnel Employee Medical Folder (Separated (d) A separate SF 135 or electronic folder (OPF) and the employee medical Employee), to request medical folders equivalent is required for each folder (EMF) to the NPRC at the same stored at the National Personnel Records individual records series having the time. Center. Additional instructions on same disposition authority and (2) Transfer EMFs and OPFs in requesting EMFs are available online at disposition date. separate folders. (e) For further guidance on transfer of http://www.archives.gov/st-louis/ (3) Retirement of individual folders is records to a NARA Federal Records civilian-personnel/federal- based on the date of separation and Center, consult the NARA Federal agencies.html. should occur within 90 to 120 days after Records Centers Program Web site (3) Optional Form 11, Reference the employee separates from Federal (http://www.archives.gov/frc/ Request—Federal Records Center to service. toolkit.html#transfer), or current NARA request medical records transferred to (4) For additional guidance, consult publications and bulletins by contacting other NARA Federal Records Centers the Office of Personnel Management the National Archives and Records prior to September 1, 1984. The request (OPM) 1900 E Street, NW., Washington, Administration, Office of Regional must include the name and address of DC 20415, phone number (202) 606– Records Services (NR), 8601 Adelphi the agency’s designated medical records 1800, Web site http://www.opm.gov/ Road, College Park, MD or phone (301) manager feddata/recguide2008.pdf, for the OPM 837–2950, or individual NARA Federal (d) For military personnel records publication ‘‘The Guide to Personnel Records Centers http:// reference requests, the following forms Recordkeeping’’ for procedures on the www.archives.gov/frc/locations.html. must be used: transfer of OPFs and EMFs. (1) Federal agencies must use § 1233.12 How does an agency transfer (b) Military medical records. Military Standard Form (SF) 180, Request vital records to a NARA Federal Records health care facilities should contact Pertaining to Military Records, to obtain Center? their facility records managers for information from military service For assistance on selecting an guidance on transferring medical records in the National Personnel appropriate site among NARA facilities records to NPRC. For additional Records Center (Military Personnel for storage of vital records, agencies may guidance, consult the ‘‘Transactions Records); authorized agencies contact National Archives and Records with the National Personnel Records requesting the loan of a military Administration, Office of Regional Center (NPRC), St. Louis, MO’’ section personnel record may order records Records Services, 8601 Adelphi Road, of the NARA Federal Records Centers using eMilrecs (electronic equivalent of College Park, MD or phone (301) 837– Program Web site (http:// the SF 180). Access to eMilrecs and 2950. The actual transfers are governed www.archives.gov/frc/ additional information is available on by the general requirements and toolkit.html#transactions). line at: http:www.archives.gov/st-louis/ procedures in this part and 36 CFR part (c) Other guidance assistance. For military-personnel/agencies/ompf-fed- 1223. further guidance assistance consult the agency.html.

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(2) A military veteran or the next of suspend disposal of the records (see Subpart A—General kin of a deceased, former member of the § 1226.18 of this subchapter). § 1234.1 What authorities apply to part military may order military personnel (e) For further guidance on records records through the submission of an SF 1234? disposition, consult the NARA Federal NARA is authorized to establish, 180 or an online records request system. Records Centers Program Web site Additional information is available on maintain and operate records centers for (http://www.archives.gov/frc/ line at: http://www.archives.gov/ Federal agencies under 44 U.S.C. 2907. toolkit.html#disposition), or current veterans/evetrecs. NARA is authorized, under 44 U.S.C. (3) Members of the public and non- NARA publications and bulletins by 3103, to approve a records center that is governmental organizations also may contacting the Office of Regional maintained and operated by an agency. obtain copies of SF 180 by submitting a Records Services (NR) or individual NARA is also authorized to promulgate written request to the National NARA Federal Records Centers (http:// standards, procedures, and guidelines to Personnel Records Center (Military www.archives.gov/frc/locations.html), Federal agencies with respect to the Personnel Records), 9700 Page individual NARA regional facilities, or storage of their records in commercial Boulevard, St. Louis, MO 63132. OMB the Washington National Records Center records storage facilities. See 44 U.S.C. Control Number 3095–0029 has been (NWMW). 2104(a), 2904, and 3102. The regulations assigned to the SF 180. in this subpart apply to all records (4) Agencies may furnish copies of the PART 1234—FACILITY STANDARDS storage facilities Federal agencies use to SF 180 to the public to aid in inquiries. FOR RECORDS STORAGE FACILITIES store, service, and dispose of their Copies of SF 180 are available at: records. http://www.archives.gov/st-louis/ Subpart A—General § 1234.2 What does this part cover? military-personnel/standard-form- Sec. (a) This part covers the establishment, 180.html#sf. 1234.1 What authorities apply to part 1234? (5) For guidance on requesting maintenance, and operation of records 1234.2 What does this part cover? original medical treatment records, centers, whether Federally-owned and 1234.3 What publications are incorporated operated by NARA or another Federal military hospitals and clinics should by reference? consult the ‘‘Transactions with the agency, or Federally-owned and 1234.4 What definitions are used in this contractor operated. This part also National Personnel Records Center part? (NPRC), St. Louis, MO’’ section of the covers an agency’s use of commercial NARA Federal Records Centers Program Subpart B—Facility Standards records storage facilities. Records Web site (http://www.archives.gov/frc/ 1234.10 What are the facility requirements centers and commercial records storage toolkit.html#transactions). for all records storage facilities? facilities are referred to collectively as (e) For further guidance on requesting 1234.12 What are the fire safety records storage facilities. This part records from a NARA Federal Records requirements that apply to records specifies the minimum structural, Center, consult the NARA Federal storage facilities? environmental, property, and life-safety Records Centers Program Web site 1234.14 What are the requirements for standards that a records storage facility (http://www.archives.gov/frc/ environmental controls for records must meet when the facility is used for toolkit.html#retrieval), or current NARA storage facilities? the storage of Federal records. publications and bulletins by contacting (b) Except where specifically noted, Subpart C—Handling Deviations From this part applies to all records storage the Office of Regional Records Services NARA’s Facility Standards (NR), or individual NARA Federal facilities. Certain noted provisions Records Centers (http:// 1234. 20 What rules apply if there is a apply only to new records storage www.archives.gov/frc/locations.html), conflict between NARA standards and facilities established or placed in service or the Washington National Records other regulatory standards that a facility on or after September 28, 2005. Center (NWMW). must follow? 1234. 22 How does an agency request a § 1234.3 What publications are incorporated by reference in this part? § 1233.20 How are disposal clearances waiver from a requirement in this managed for records in NARA Federal subpart? (a) Certain material is incorporated by Records Centers? 1234. 24 How does NARA process a waiver reference into this part with the (a) The National Personnel Records request? approval of the Director of the Federal Center will destroy records covered by Register under 5 U.S.C. 552(a) and 1 Subpart D—Facility Approval and CFR part 51. To enforce any edition General Records Schedules 1 and 2 in Inspection Requirements accordance with those schedules other than that specified in this section, without further agency clearance. 1234.30 How does an agency request NARA must publish notice of change in (b) NARA Federal Records Centers authority to establish or relocate records the Federal Register and the material will destroy other eligible Federal storage facilities? must be available to the public. All records only with the written 1234.32 What does an agency have to do to approved material is available for concurrence of the agency having legal certify a fire-safety detection and inspection at the Office of the Federal custody of the records. suppression system? Register. For information on the (c) NARA Federal Records Centers 1234.34 When may NARA conduct an availability of this material at the Office will maintain documentation on the inspection of a records storage facility? of the Federal Register, call 202–741– final disposition of records, as required Appendix A to Part 1234—Minimum 6030 or go to http://www.archives.gov/ in 36 CFR 1232.14(d). Security Standards for Level III Federal federal_register/ (d) When NARA approves an Facilities code_of_federal_regulations/ extension of retention period beyond Appendix B to Part 1234—Alternative ibr_locations.html. the time authorized in the records Certified Fire-Safety Detection and (b) The material incorporated by schedule for records stored in NARA Suppression System(s) reference is also available for inspection Federal Records Centers, NARA will Authority: 44 U.S.C. 2104(a), 2904, 2907, at NARA’s Archives Library Information notify those affected records centers to 3102, and 3103. Center (NWCCA), Room 2380, 8601

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Adelphi Road, College Park, MD 20740– Walls, 1994 Edition, November 1, 1994, (2) ANSI/ASHRAE 62–1989 (‘‘ANSI/ 6001, phone number (301) 837–3415, IBR approved for § 1234.4. ASHRAE 62’’), Ventilation for and is available for purchase from the (3) ASTM E 119–98 (‘‘ASTM E 119– Acceptable Indoor Air Quality, 1989, sources listed below. If you experience 98’’), Standard Test Methods for Fire IBR approved for § 1234.14. difficulty obtaining the standards Tests of Building Construction and (3) UL 611 (‘‘UL 611’’), Central- referenced below, contact NARA’s Materials, 1998, IBR approved for Station Burglar-Alarm Systems, Space and Security Management § 1234.12. February 22, 1996, IBR approved for Division (NAS), National Archives and (4) NFPA 10 (‘‘NFPA 10’’), Portable § 1234.10 Records Administration, 8601 Adelphi Fire Extinguishers, 1994 Edition, November 1, 1994, IBR approved for § 1234.4 What definitions are used in this Road, College Park, MD 20740–6001, part? phone number (301) 837–1867. Appendix B to part 1234. (c) American National Standards (5) NFPA 13 (‘‘NFPA 13’’), Standard The following definitions apply to Institute (ANSI). The following for Installation of Sprinkler Systems, this part: standards are available from the 2002 Edition, October 1, 2002, IBR Auxiliary spaces mean non-records American National Standards Institute, approved for §§ 1234.10 and 1234.12, storage areas such as offices, research 25 West 43rd St., 4th Floor, New York, and Appendix B to part 1234. rooms, other work and general storage NY 10036, phone number (212) 642– (6) NFPA 20 (‘‘NFPA 20’’), Standard areas but excluding boiler rooms or 4900, or online at http:// for the Installation of Centrifugal Fire rooms containing equipment operating webstore.ansi.org. Pumps, 1996 Edition, January 1, 1996, with a fuel supply such as generator rooms. (1) IAPMO/ANSI UMC 1–2003 IBR approved for Appendix B to part Commercial records storage facility (‘‘IAPMO/ANSI UMC 1’’), Uniform 1234. has the meaning specified in § 1220.18 Mechanical Code, 2003, IBR approved (f) Global Engineering Documents. of this chapter. for § 1234.12. The following standards are available Existing records storage facility means (2) NFPA 40 (‘‘NFPA 40–1997’’), from the standards reseller Global Engineering Documents, 15 Inverness any records center or commercial Standard for the Storage and Handling records storage facility used to store of Cellulose Nitrate Motion Picture Way, East Englewood, CO 80112, phone number (800) 854–7179, or online at records on September 27, 2005, and that Film, 1997 Edition, IBR approved for has stored records continuously since § 1234.12. http://www.global.ihs.com. (1) ANSI/PIMA IT9.25–1998 (‘‘ANSI/ that date. (3) NFPA 42 (‘‘NFPA 42’’), Code for PIMA IT9.25’’), Imaging Materials— Fire barrier wall means a wall, other the Storage of Pyroxylin Plastic, 1997 Optical Disc Media—Storage, 1998, IBR than a fire wall, having a fire resistance Edition, IBR approved for § 1234.12. approved for § 1234.14. rating, constructed in accordance with (4) NFPA 54 (‘‘NFPA 54’’), National (2) Reserved. NFPA 221 (incorporated by reference, Fuel Gas Code, 2002 Edition, IBR (g) Techstreet. The following see § 1234.3). approved for § 1234.12. standards are available from the Licensed fire protection engineer (5) NFPA 101 (‘‘NFPA 101’’), Life standards reseller Techstreet, 3916 means a licensed or registered Safety Code, 1997 Edition, IBR Ranchero Drive, Ann Arbor, MI 48108, professional engineer with a recognized approved for § 1234.12. phone number (800) 699–9277, or specialization in fire protection (d) Document Center Inc. The online at http://www.Techstreet.com. engineering. For those States that do not following standards are available from (1) ANSI/PIMA IT9.11–1998 (‘‘ANSI/ separately license or register fire the standards reseller the Document PIMA IT9.11’’), Imaging Materials— protection engineers, a licensed or Center Inc., 111 Industrial Road, Suite 9, Processed Safety Photographic Films— registered professional engineer with Belmont, CA, 94002, phone number Storage, January 1, 1998, IBR approved training and experience in fire (650) 591–7600, or online at http:// for § 1234.14. protection engineering, operating within www.document-center.com. (2) UL 827 (‘‘UL 827’’), Central- the scope of that licensing or (1) ANSI/NAPM IT9.18–1996 (‘‘ANSI/ Station Alarm Services, Sixth Edition, registration, who is also a professional NAPM IT9.18’’), Imaging Materials— April 23, 1999, IBR approved for member of the Society of Fire Protection Processed Photographic Plates—Storage Appendix B to part 1234. Engineers. Practices, September 8, 1996, IBR (3) UL 1076 (‘‘UL 1076’’), Proprietary Must and provide means that a approved for § 1234.14. Burglar Alarm Units and Systems, Fifth provision is mandatory. (2) ANSI/NAPM IT9.23–1996 (‘‘ANSI/ Edition, February 1, 1999, IBR approved New records storage facility means NAPM IT9.23’’), Imaging Materials— for § 1234.10 any records center or commercial Polyester Base Magnetic Tape—Storage, (h) The following standards are not records storage facility established or September 6, 1996, IBR approved for available from the original publisher or converted for use as a records center or § 1234.14. a standards reseller. As indicated in commercial records storage facility on (e) Document Engineering Co., Inc. paragraph (b) of this section, the or after September 28, 2005. (DECO). The following standards are standards are available for inspection at Permanent record has the meaning available from the standards reseller the NWCCA. In order to inspect the specified in § 1220.18 of this DECO—Document Engineering Co., Inc., standards at a NARA location other than subchapter. 15210 Stagg Street, Van Nuys, CA, the NARA facility in College Park, MD, Records center has the meaning phone number (818) 782–1010, or please contact the NWCCA, Room 2380, specified in § 1220.18 of this online at http://www.doceng.com. 8601 Adelphi Road, College Park, MD subchapter. (1) ANSI/NAPM IT9.20–1996 (‘‘ANSI/ 20740–6001, phone number (301) 837– Records storage area means the area NAPM IT9.20’’), Imaging Materials— 3415 or e-mail your request to intended for long-term storage of Reflection Prints—Storage Practices, [email protected]. records that is enclosed by four fire September 8, 1996, IBR approved for (1) ANSI/ASHRAE 55–1992 (‘‘ANSI/ barrier walls, the floor, and the ceiling. § 1234.14. ASHRAE 55’’), Thermal Environmental Records storage facility has the (2) NFPA 221 (‘‘NFPA 221’’), Conditions for Human Occupancy, meaning specified in § 1220.18 of this Standard for Fire Walls and Fire Barrier 1992, IBR approved for § 1234.14. subchapter.

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Sample/Select records means records by a licensed civil/structural engineer records storage areas must be fully whose final disposition requires an that there are no obvious structural enclosed by shaft construction with analytical or statistical sampling prior to weaknesses that would indicate a high appropriate maintenance access panels. final disposition authorization, in which potential for structural catastrophic (1) New records storage facilities must some percentage of the original collapse under fire conditions. meet the requirements in this paragraph accession will be retained as permanent (c) The building must be sited a (h) beginning on September 28, 2005. records. minimum of five feet above and 100 feet (2) Existing facilities must meet the Should or may means that a provision from any 100 year flood plain areas, or requirements in this paragraph (h) no is recommended or advised but not be protected by an appropriate flood later than October 1, 2009. required. wall that conforms to local or regional (i) The following standards apply to Temporary record has the meaning building codes. records storage shelving and racking specified in § 1220.18 of this (d) The facility must be designed in systems: subchapter. accordance with the applicable national, (1) All storage shelving and racking Unscheduled records has the meaning regional, state, or local building codes systems must be designed and installed specified in § 1220.18 of this (whichever is most stringent) to provide to provide seismic bracing that meets subchapter. protection from building collapse or the requirements of the applicable state, failure of essential equipment from regional, and local building code Subpart B—Facility Standards earthquake hazards, tornadoes, (whichever is most stringent); hurricanes and other potential natural (2) Racking systems, steel shelving, or § 1234.10 What are the facility disasters. other open-shelf records storage requirements for all records storage (e) Roads, fire lanes and parking areas equipment must be braced to prevent facilities? must permit unrestricted access for collapse under full load. Each racking (a) The facility must be constructed emergency vehicles. system or shelving unit must be with non-combustible materials and (f) A floor load limit must be industrial style shelving rated at least 50 building elements, including walls, established for the records storage area pounds per cubic foot supported by the columns and floors. There are two by a licensed structural engineer. The shelf; exceptions to this requirement: limit must take into consideration the (3) Compact mobile shelving systems (1) Roof elements may be constructed height and type of the shelving or (if used) must be designed to permit with combustible materials if installed storage equipment, the width of the proper air circulation and fire protection in accordance with local building codes aisles, the configuration of the space, (detailed specifications that meet this and if roof elements are protected by a etc. The allowable load limit must be requirement can be provided by NARA properly installed, properly maintained posted in a conspicuous place and must by writing to Director, Space and wet-pipe automatic sprinkler system, as not be exceeded. Security Management Division (NAS), specified in NFPA 13 (incorporated by (g) The facility must ensure that the National Archives and Records reference, see § 1234.3). roof membrane does not permit water to Administration, 8601 Adelphi Road, (2) An agency may request a waiver of penetrate the roof. NARA strongly College Park, MD 20740–6001.), phone the requirement specified in paragraph recommends that this requirement be number (301) 837–1867). (a) from NARA for an existing records met by not mounting equipment on the (j) The area occupied by the records storage facility with combustible roof and placing nothing else on the roof storage facility must be equipped with building elements to continue to operate that may cause damage to the roof an anti-intrusion alarm system, or until October 1, 2009. In its request for membrane. Alternatively, a facility may equivalent, meeting the requirements of a waiver, the agency must provide meet this requirement with stringent UL 1076 (incorporated by reference, see documentation that the facility has a fire design specifications for roof-mounted § 1234.3), level AA, to protect against suppression system specifically equipment in conjunction with a unlawful entry after hours and to designed to mitigate this hazard and periodic roof inspection program monitor designated interior storage that the system meets the requirements performed by appropriately certified spaces. This intrusion alarm system of § 1234.12(s). Requests must be professionals. must be monitored in accordance with submitted to the Director, Space and (1) New records storage facilities must UL 611, (incorporated by reference, see Security Management Division (NAS), meet the requirements in this paragraph § 1234.3). National Archives and Records (g) beginning on September 28, 2005. (k) The facility must comply with the Administration, 8601 Adelphi Road, (2) Existing facilities must meet the requirements for a Level III facility as College Park, MD 20740–6001, phone requirements in this paragraph (g) no defined in the Department of Justice, U. number (301) 837–1867. later than October 1, 2009. S. Marshals Service report Vulnerability (b) A facility with two or more stories (h) Piping (with the exception of fire Assessment of Federal Facilities dated must be designed or reviewed by a protection sprinkler piping and storm June 28, 1995. These requirements are licensed fire protection engineer and water roof drainage piping) must not be provided in Appendix A to this part civil/structural engineer to avoid run through records storage areas unless 1234. Agencies may require compliance catastrophic failure of the structure due supplemental measures such as gutters with Level IV or Level V facility security to an uncontrolled fire on one of the or shields are used to prevent water requirements if the facility is classified intermediate floor levels. For new leaks and the piping assembly is at the higher level. buildings the seals on the construction inspected for potential leaks regularly. If (l) Records contaminated by drawings serve as proof of this review. drainage piping from roof drains must hazardous materials, such as radioactive For existing buildings, this requirement be run though records storage areas, the isotopes or toxins, infiltrated by insects, may be demonstrated by a professional piping must be run to the nearest or exhibiting active mold growth must letter of opinion under seal by a vertical riser and must include a be stored in separate areas having licensed fire protection engineer that the continuous gutter sized and installed separate air handling systems from other fire resistance of the separating floor(s) beneath the lateral runs to prevent records. is/(are) at least four hours, and a leakage into the storage area. Vertical (m) To eliminate damage to records professional letter of opinion under seal pipe risers required to be installed in and/or loss of information due to

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insects, rodents, mold and other pests loading dock. In addition, to prevent structural elements and construction that are attracted to organic materials fumes from vehicle exhausts from assemblies must be in accordance with under specific environmental entering the facility, air intake louvers ASTM E 119–98 (incorporated by conditions, the facility must have an must not be located in the area of the reference, see § 1234.3). Integrated Pest Management program as loading dock, adjacent to parking areas, (e) The fire resistive rating of the roof defined in the Food Protection Act of or in any location where a vehicle must be a minimum of 1⁄2 hour for all 1996 (Section 303, Pub. L. 104–170, 110 engine may be running for any period of records storage facilities, or must be Stat. 1512). This states in part that time. Loading docks must have an air protected by an automatic sprinkler Integrated Pest Management is a supply and exhaust system that is system designed, installed, and sustainable approach to managing pests separate from the remainder of the maintained in accordance with NFPA by combining biological, cultural, facility. 13 (incorporated by reference, see physical, and chemical tools in a way § 1234.3). that minimizes economic, health, and § 1234.12 What are the fire safety (f) Openings in fire barrier walls environmental risks. The IPM program requirements that apply to records storage separating records storage areas must be facilities? emphasizes three fundamental avoided to the greatest extent possible. elements: (a) The fire detection and protection If openings are necessary, they must be (1) Prevention. IPM is a preventive systems must be designed or reviewed protected by self-closing or automatic maintenance process that seeks to by a licensed fire protection engineer. If Class A fire doors, or equivalent doors identify and eliminate potential pest the system was not designed by a that maintain the same rating as the access, shelter, and nourishment. It also licensed fire protection engineer, the wall. continually monitors for pests review requirement is met by furnishing (g) Roof support structures that cross themselves, so that small infestations do a report under the seal of a licensed fire or penetrate fire barrier walls must be not become large ones; protection engineer that describes the cut and supported independently on (2) Least-toxic methods. IPM aims to design intent of the fire detection and each side of the fire barrier wall. minimize both pesticide use and risk suppression system, detailing the (h) If fire barrier walls are erected through alternate control techniques characteristics of the system, and with expansion joints, the joints must be and by favoring compounds, describing the specific measures beyond protected to their full height. formulations, and application methods the minimum features required by code (i) Building columns in the records that present the lowest potential hazard that have been incorporated to minimize storage areas must be at least 1-hour fire to humans and the environment; and loss. The report should make specific resistant or protected in accordance (3) Systems approach. The IPM pest reference to appropriate industry with NFPA 13 (incorporated by control contract must be effectively standards used in the design, such as reference, see § 1234.3). coordinated with all other relevant those issued by the National Fire (j) Automatic roof vents for routine programs that operate in and around a Protection Association, and any testing ventilation purposes must not be building, including plans and or modeling or other sources used in the designed into new records storage procedures involving design and design. facilities. Automatic roof vents, construction, repairs and alterations, (b) All interior walls separating designed solely to vent in the case of a cleaning, waste management, food records storage areas from each other fire, with a temperature rating at least service, and other activities. and from other storage areas in the twice that of the sprinkler heads are (n) For new records storage facilities building must be at least three-hour fire acceptable. only, the additional requirements in this barrier walls. A records storage facility (k) Where lightweight steel roof or paragraph (n) must be met: may not store more than 250,000 cubic floor supporting members (e.g., bar (1) Do not install mechanical feet total of Federal records in a single joists having top chords with angles 2 equipment, excluding material handling records storage area. When Federal by 12 inches or smaller, 1/4-inch thick and conveyance equipment that have records are combined with other records or smaller, and 13/16-inch or smaller operating thermal breakers on the in a single records storage area, only the Web diameters) are present, they must motor, containing motors rated in excess Federal records will apply toward this be protected either by applying a 10- of 1 HP within records storage areas limitation. minute fire resistive coating to the top (either floor mounted or suspended (c) Fire barrier walls that meet the chords of the joists, or by retrofitting the from roof support structures). following specifications must be sprinkler system with large drop (2) Do not install high-voltage provided: sprinkler heads. If a fire resistive coating electrical distribution equipment (i.e., (1) For existing records storage is applied, it must be a product that will 13.2kv or higher switchgear and facilities, at least one-hour-rated fire not release (off gas) harmful fumes into transformers) within records storage barrier walls must be provided between the facility. If fire resistive coating is areas (either floor mounted or the records storage areas and other subject to air erosion or flaking, it must suspended from roof support auxiliary spaces. be fully enclosed in a drywall structures). (2) For new records storage facilities, containment constructed of metal studs (3) A redundant source of primary two-hour-rated fire barrier walls must be with fire retardant drywall. Retrofitting electric service such as a second provided between the records storage may require modifications to the piping primary service feeder should be areas and other auxiliary spaces. One system to ensure that adequate water provided to ensure continuous, exterior wall of each stack area must be capacity and pressure are provided in dependable service to the facility designed with a maximum fire resistive the areas to be protected with these especially to the HVAC systems, fire rating of one hour, or, if rated more than large drop sprinkler heads. alarm and fire protection systems. one hour, there must be at least one (l) Open flame (oil or gas) unit heaters Manual switching between sources of knock-out panel in one exterior wall of or equipment, if used in records storage service is acceptable. each stack area. areas, must be installed or used in the (4) A facility storing permanent (d) Penetrations in the walls must not records storage area in accordance with records must be kept under positive air reduce the specified fire resistance NFPA 54 (incorporated by reference, see pressure, especially in the area of the ratings. The fire resistance ratings of § 1234.3), and the IAPMO/ANSI UMC 1,

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Uniform Mechanical Code (incorporated § 1234.14 What are the requirements for and air exchange) equivalent to that by reference, see § 1234.3). environmental controls for records storage required for office space. See ANSI/ (m) For existing records storage facilities? ASHRAE Standard 55 (incorporated by facilities, boiler rooms or rooms (a) Paper-based temporary records. reference, see § 1234.3), and ASHRAE containing equipment operating with a Paper-based temporary records must be Standard 62 (incorporated by reference, fuel supply (such as generator rooms) stored under environmental conditions see § 1234.3), for specific requirements. must be separated from records storage that prevent the active growth of mold. New records storage facilities that store areas by 2-hour-rated fire barrier walls Exposure to moisture through leaks or paper-based permanent, unscheduled, with no openings directly from these condensation, relative humidities in and/or sample/select records must meet rooms to the records storage areas. Such excess of 70%, extremes of heat the requirement in this paragraph (c) areas must be vented directly to the combined with relative humidity in beginning on September 28, 2005. outside to a location where fumes will excess of 55%, and poor air circulation Existing storage facilities that store not be drawn back into the facility. during periods of elevated heat and paper-based permanent, unscheduled, (n) For new records storage facilities, relative humidity are all factors that and/or sample/select records must meet boiler rooms or rooms containing contribute to mold growth. the requirement in this paragraph (c) no equipment operating with a fuel supply (b) Nontextual temporary records. later than October 1, 2009. (such as generator rooms) must be Nontextual temporary records, (d) Nontextual permanent, separated from records storage areas by including microforms and audiovisual unscheduled, and/or sample/select 4-hour-rated fire barrier walls with no and electronic records, must be stored records. All records storage facilities openings directly from these rooms to in records storage space that is designed that store microfilm, audiovisual, and/or the records storage areas. Such areas to preserve them for their full retention electronic permanent, unscheduled, must be vented directly to the outside period. New records storage facilities and/or sample/select records must to a location where fumes will not be that store nontextual temporary records comply with the storage standards for drawn back into the facility. must meet the requirements in this permanent and unscheduled records in (o) For new records storage facilities, paragraph (b) beginning on September parts 1238, 1237, and/or 1236 of this fuel supply lines must not be installed 28, 2005. Existing records storage subchapter, respectively. in areas containing records and must be facilities that store nontextual separated from such areas with 4-hour temporary records must meet the Subpart C—Handling Deviations From rated construction assemblies. requirements in this paragraph (b) no NARA’s Facility Standards (p) Equipment rows running later than October 1, 2009. At a perpendicular to the wall must comply minimum, nontextual temporary § 1234.20 What rules apply if there is a conflict between NARA standards and other with NFPA 101 (incorporated by records must be stored in records reference, see § 1234.3), with respect to regulatory standards that a facility must storage space that meets the follow? egress requirements. requirements for medium term storage (q) No oil-type electrical transformers, (a) If any provisions of this part set by the appropriate standard in this conflict with local or regional building regardless of size, except thermally paragraph (b). In general, medium term protected devices included in codes, the following rules of precedence conditions as defined by these standards apply: fluorescent light ballasts, may be are those that will ensure the installed in the records storage areas. (1) Between differing levels of fire preservation of the materials for at least protection and life safety, the more All electrical wiring must be in metal 10 years with little information conduit, except that armored cable may stringent provision applies; and degradation or loss. Records may (2) Between mandatory provisions be used where flexible wiring continue to be usable for longer than 10 connections to light fixtures are that cannot be reconciled with a years when stored under these requirement of this part, the local or required. Battery charging areas for conditions, but with an increasing risk electric forklifts must be separated from regional code applies. of information loss or degradation with (b) If any of the provisions of this part records storage areas with at least a 2- longer times. If temporary records conflict with mandatory life safety or hour rated fire barrier wall. require retention longer than 10 years, (r) Hazardous materials, including ventilation requirements imposed on better storage conditions (cooler and underground storage facilities by 30 records on cellulose nitrate film, must drier) than those specified for medium not be stored in records storage areas. CFR chapter I, 30 CFR chapter I applies. term storage will be needed to maintain (c) NARA reserves the right to require Nitrate motion picture film and nitrate the usability of these records. The documentation of the mandatory nature sheet film may be stored in separate applicable standards are: of the conflicting code and the inability areas that meet the requirements of the (1) ANSI/PIMA IT9.11 (incorporated to reconcile that provision with NARA appropriate NFPA standards, NFPA 40– by reference, see § 1234.3); requirements. 1997 (incorporated by reference, see (2) ANSI/NAPM IT9.23 (incorporated § 1234.3), or NFPA 42 (incorporated by by reference, see § 1234.3); § 1234.22 How does an agency request a reference, see § 1234.3). (3) ANSI/PIMA IT9.25 (incorporated waiver from a requirement in this part? (s) All record storage and adjoining by reference, see § 1234.3); (a) Types of waivers that may be areas must be protected by a (4) ANSI/NAPM IT9.20 (incorporated approved. NARA may approve professionally-designed fire-safety by reference, see § 1234.3); and/or exceptions to one or more of the detection and suppression system that is (5) ANSI/NAPM IT9.18 (incorporated standards in this part for: designed to limit the maximum by reference, see § 1234.3). (1) Systems, methods, or devices that anticipated loss in any single fire event (c) Paper-based permanent, are demonstrated to have equivalent or involving a single ignition and no more unscheduled and sample/select records. superior quality, strength, fire than 8 ounces of accelerant to a Paper-based permanent, unscheduled, resistance, effectiveness, durability, and maximum of 300 cubic feet of records and sample/select records must be safety to those prescribed by this destroyed by fire. Section 1234.32 stored in records storage space that subpart; specifies how to document compliance provides 24 hour/365 days per year air (2) Existing agency records centers with this requirement. conditioning (temperature, humidity, that met the NARA standards in effect

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prior to January 3, 2000, but do not meet least equal protection to Federal agency records center must be a new standard required to be in place records, NARA will consult the specifically approved by NARA prior to on September 28, 2005; and appropriate industry standards body or the transfer of any records to that (3) The application of roof other qualified expert before making a individual facility. If an agency records requirements in §§ 1234.10 and 1234.12 determination. NARA will notify the center has been approved for the storage to underground storage facilities. requesting agency within 30 calendar of Federal records of one agency, any (b) Where to submit a waiver request. days of receipt of the request that other agency that proposes to store its The agency submits a waiver request, consultation is necessary and will records in that facility must still obtain containing the information specified in provide a final determination within 60 NARA approval to do so. paragraphs (c), (d), and/or (e) of this calendar days. If NARA does not grant (2) Commercial records storage section to the Director, Space and the waiver, NARA will furnish a full facilities. An agency may contract for Security Management Division (NAS), explanation of the reasons for its commercial records storage services. National Archives and Records decision. However, before any agency records are Administration, 8601 Adelphi Rd., (b) Waiver of new requirement for transferred to a commercial records College Park, MD 20740–6001, phone existing agency records center. NARA storage facility, the transferring agency number (301) 837–1867. will review the agency’s waiver request must ensure that the facility meets all of (c) Content of request for waivers for and plan to bring the facility into the requirements for an agency records equivalent or superior alternatives. The compliance. storage facility set forth in this subpart agency’s waiver request must contain: (1) NARA will approve the request and must submit the documentation (1) A statement of the specific and plan within 30 calendar days if required in paragraph (e) of this section. provision(s) of this part for which a NARA judges the planned actions and (b) Exclusions. For purposes of this waiver is requested, a description of the time frames for bringing the facility into section, the term ‘‘agency records proposed alternative, and an compliance are reasonable. center’’ excludes NARA-owned and explanation how it is equivalent to or (2) If NARA questions the feasibility operated records centers. For purposes superior to the NARA requirement; and or reasonableness of the plan, NARA of this section and § 1234.34, the term (2) Supporting documentation that the will work with the agency to develop a ‘‘agency records center’’ also excludes alternative does not provide less revised plan that NARA can approve agency records staging and/or holding protection for Federal records than that and the agency can implement. NARA areas with a capacity for containing less which would be provided by may grant a short-term temporary than 25,000 cubic feet of records. compliance with the corresponding waiver, not to exceed 180 calendar days, However, such records centers and provisions contained in this subpart. while the revised plan is under areas, including records centers Documentation may take the form of development. operated and maintained by NARA, certifications from a licensed fire (c) Waiver of roof requirements for must comply with the facility standards protection engineer or a structural or underground storage facilities. NARA in §§ 1234.10 through 1234.14. civil engineer, as appropriate; reports of will normally grant the waiver and (c) Content of requests for agency independent testing; reports of notify the requesting agency within 10 records centers. Requests for authority computer modeling; and/or other work days if the agency has not also to establish or relocate an agency supporting information. requested a waiver of a different records center, or to use an agency (d) Content of request for waiver for requirement under § 1234.30. If the records center operated by another agency, must be submitted in writing to previously compliant agency records agency has another waiver request the Director, Space and Security center. The agency’s waiver request pending for the same facility, NARA Management Division (NAS), National must identify which requirement(s) the will respond to all of the waiver Archives and Records Administration, agency records center cannot meet and requests at the same time and within the 8601 Adelphi Road, College Park, MD provide a plan with milestones for longest time limits. bringing the center into compliance. 20740–6001, phone number (301) 837– (e) Content of request for waiver of Subpart D—Facility Approval and 1867. The request must identify the roof requirements for underground Inspection Requirements specific facility and, for requests to facility. The agency’s waiver request establish or relocate the agency’s own must identify the location of the facility § 1234.30 How does an agency request records center, document compliance authority to establish or relocate records with the standards in this subpart. and whether the facility is a drift storage facilities? entrance facility or a vertical access Documentation requirements for facility. (a) General policy. Agencies are § 1234.12(s) are specified in § 1234.32. responsible for ensuring that records in (d) Approval of requests for agency § 1234.24 How does NARA process a their legal custody are stored in records centers. NARA will review the waiver request? appropriate space as outlined in this submitted documentation to ensure the (a) Waiver for equivalent or superior part. Under § 1232.18(a), agencies are facility demonstrates full compliance alternative. NARA will review the responsible for initiating action to with the standards in this subpart. waiver request and supporting remove records from space that does not NARA reserves the right to visit the documentation. meet these standards if deficiencies are facility, if necessary, to make the (1) If in NARA’s judgment the not corrected within 6 months after determination of compliance. NARA supporting documentation clearly initial discovery of the deficiencies by will inform the agency of its decision supports the claim that the alternative is NARA or the agency and to complete within 45 calendar days after the equivalent or superior to the NARA removal of the records within 18 request is received, and will provide the requirement, NARA will grant the months after initial discovery of the agency information on the areas of waiver and notify the requesting agency deficiencies. noncompliance if the request is denied. within 30 calendar days. (1) Agency records centers. Agencies Requests will be denied only if NARA (2) If NARA questions whether must obtain prior written approval from determines that the facility does not supporting documentation demonstrates NARA before establishing or relocating demonstrate full compliance with the that the proposed alternative offers at an agency records center. Each separate standards in this subpart. Approvals

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will be valid for a period of 10 years, Mutual, Underwriters Laboratories or (3) If NARA questions whether unless the facility is materially changed Southwest Research Institute); or supporting documentation demonstrates before then or an agency or NARA (3) A report under seal of a licensed compliance with § 1234.12(s), NARA inspection finds that the facility does fire protection engineer that: will consult the appropriate industry not meet the standards in this subpart. (i) Describes the design intent of the standards body or other qualified expert Material changes require submission of fire suppression system to limit the before making a determination. Before a new request for NARA approval. maximum anticipated loss in any single any consultation, NARA may ask the (e) Documentation requirements for fire event involving a single ignition and agency for additional clarifying storing Federal records in commercial no more than 8 fluid ounces of information. NARA will notify the records storage facilities. At least 45 petroleum-type hydrocarbon accelerant requesting agency within 30 calendar calendar days before an agency first (such as, for example, heptanes or days of receipt of the request that transfers records to a commercial gasoline) to a maximum of 300 cubic consultation is necessary and will records storage facility, the agency must feet of Federal records destroyed by fire. provide a final determination within 60 submit documentation to NARA that the The report need not predict a maximum calendar days. If NARA does not facility complies with the standards in single event loss at any specific number, approve the system, NARA will furnish this subpart. The documentation may but rather should describe the design a full explanation of the reasons for its take the form of a copy of the agency’s intent of the fire suppression system. decision. contract that incorporates this subpart The report may make reasonable (4) NARA will maintain a list of in its provisions or a statement from the engineering and other assumptions such approved alternative systems. as that the fire department responds agency records officer that certifies that § 1234.34 When may NARA conduct an the facility meets the standards in this within XX minutes (the local fire inspection of a records storage facility? subpart. An agency must provide the department’s average response time) documentation for each separate and promptly commences suppression (a) At the time an agency submits a commercial records storage facility actions. In addition, any report prepared request to establish an agency records where its records will be stored. under this paragraph should assume center, pursuant to § 1234.30, NARA Documentation must be sent to the that the accelerant is saturated in a may conduct an inspection of the Director, Space and Security cotton wick that is 3 inches in diameter proposed facility to ensure that the Management Division (NAS), National and 6 inches long and sealed in a plastic facility complies fully with the Archives and Records Administration, bag and that the fire is started in an aisle standards in this subpart. NARA may 8601 Adelphi Road, College Park, MD at the face of a carton at floor level. also conduct periodic inspections of 20740–6001, phone number (301) 837– Assumptions must be noted in the agency records centers so long as such 1867. The agency must submit updated report; facility is used as an agency records documentation to NARA every 10 years (ii) Details the characteristics of the center. NARA will inspect its own if it continues to store records in that system; and records center facilities on a periodic commercial records storage facility. (iii) Describes the specific measures basis to ensure that they are in beyond the minimum features required compliance with the requirements of § 1234.32 What does an agency have to do by the applicable building code that this subpart. to certify a fire-safety detection and (b) Agencies must ensure, by contract suppression system? have been incorporated to limit destruction of records. The report or otherwise, that agency and NARA (a) Content of documentation. The should make specific references to officials, or their delegates, have the agency must submit documentation to industry standards used in the design, right to inspect commercial records the Director, Space and Security such as those issued by the National storage facilities to ensure that such Management Division (NAS), National Fire Protection Association, and any facilities fully comply with the Archives and Records Administration, testing or modeling or other sources standards in this subpart. NARA may 8601 Adelphi Road, College Park, MD used in the design. conduct periodic inspections of commercial records storage facilities so 20740–6001, phone number (301) 837– (b) NARA action. (1) NARA will long as agencies use such facilities to 1867, that describes the space being approve the fire-safety detection and store agency records. The using agency, protected (e.g., the type and stacking suppression system within 10 work not NARA, will be responsible for height of the storage equipment used, or days if NARA has previously approved paying any fee or charge assessed by the how the space is designed, controlled, the system design for similarly commercial records storage facility for and operated) and the characteristics of configured space or if a report of NARA’s conducting an inspection. the fire-safety detection and suppression independent testing of a new system (c) NARA will contact the agency system used. The documentation must design is furnished as documentation. operating the records center or the demonstrate how that system meets the (2) If, in NARA’s judgment, the agency holding a contract with a requirement in § 1234.12(s) through: supporting documentation provided in commercial records storage facility in (1) A statement that the facility is accordance with paragraph (a)(3) of this advance to set a date for the inspection. using a NARA certified system as section clearly demonstrates compliance described in Appendix B to this part; with § 1234.12(s), NARA will approve Appendix A to Part 1234—Minimum (2) A report of the results of the fire-safety detection and suppression Security Standards for Level III Federal independent live fire testing (Factory system within 30 calendar days. Facilities

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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 areased ...... Required. 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 facilities, etc.) ...... Required. 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 vulnerability to criminal activity ...... Desirable. Arrange for employee parking in/near building after normal work hours ...... Recommended. Conduct background security checks and/or establish security control procedures for service contract personnel ...... 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

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.

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 Con- Avoid leasing facilities where parking cannot be controlled. If necessary, relocate offices to fa- trolled. cilities 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 Unauthor- Procedures should be established and implemented to alert the public to towing policies, and ized Vehicles. the removal of unauthorized vehicles. ID System and Procedures for Authorized Park- Procedures should be established for identifying vehicles and corresponding parking spaces ing. (placard, decal, card key, etc.) Adequate Lighting for Parking Areas ...... Effective lighting provides added safety for employees and deters illegal or threatening activi- ties.

Closed circuit television (CCTV) monitoring

CCTV Surveillance Cameras With Time Lapse Twenty-four hour CCTV surveillance and recording is desirable at all locations as a deterrent. Video Recording. 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 Surveil- Warning signs advising of twenty-four hour surveillance act as a deterrent in protecting em- lance. ployees and facilities.

Lighting

Lighting with Emergency Power Backup ...... Standard safety code requirement in virtually all areas. Provides for safe evacuation of build- ings 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 (Cur- Audit current standards for package entry and suggest ways to enhance security. rent). Implement Receiving/Shipping Procedures After auditing procedures for receiving/shipping, implement improved procedures for security (Modified). enhancements.

Access Control

Evaluate Facility for Security Guard Require- If security guards are required, the number of guards at any given time will depend on the size ments. 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 Moni- Desirable in Level I facilities, based on evaluation for Level II facilities, and required for Levels toring Capability. III, IV and V.

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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

Upgrade to Current Life Safety Standards ...... Required for all facilities as part of GSA design requirements, (e.g. fire detection, fire suppres- sion systems, etc.)

Entrances/Exits

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

Require X-Ray Screening of all Mail/Packages All packages entering building should be subject to x-ray screening and/or visual inspection. 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 Displayed At May not be required in smaller facilities. 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 Areas ... Smaller facilities may not have control over utility access, or locations of utility areas. Where possible, assure that utility areas are secure and that only authorized personnel can gain entry. Provide Emergency Power To Critical Systems Tenant agency is responsible for determining which computer and communication systems re- quire back-up power. All alarm systems, CCTV monitoring devices, fire detection systems, entry control devices, etc. require emergency power sources. (Alarm Systems, Radio Com- munications, Computer Facilities, Etc.)

Occupant Emergency Plans

Examine Occupant Emergency Plan (OEP) and Review and update current OEP procedures for thoroughness. OEPs should reflect the current Contingency Procedures Based on Threats. security climate. Assign and Train OEP Officials ...... Assignment based on GSA requirement that largest tenant in facility maintain OEP responsi- bility. 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 Stand- Conduct a thorough review of security and safety standards. ards. Assess Feasibility of Locating Day Care Within If a facility is being considered for a day care center, an evaluation should be made based on Federal Facility. the risk factors associated with tenants and the location of the facility.

B.4 Security Planning Intelligence Sharing

Establish Law Enforcement Agency/Security Li- Intelligence sharing between law enforcement agencies and security organizations should be aisons. 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 Intelligence Determine what procedures exist to ensure timely delivery of critical intelligence. Review and Receipt/Dissemination. improve procedures to alert agencies and specific targets of criminal/terrorist threats. Estab- lish standard administrative procedures for response to incoming alerts. Review flow of infor- mation for effectiveness and time critical dissemination. Establish Uniform Security/Threat Nomenclature To facilitate communication, standardized terminology for Alert Levels should be implemented. (Normal, Low, Moderate, and High—As recommended by Security Standards Committee)

Training

Conduct Annual Security Awareness Training ... Provide security awareness training for all tenants. At a minimum, self-study programs 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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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

Establish Standardized Armed And Unarmed Requirements for these positions should be standardized government wide. Guard Qualifications/Training Requirements.

Tenant Assignment

Co-Locate Agencies With Similar Security To capitalize on efficiencies and economies, agencies with like security requirements should Needs. 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 departure Threat/High Risk Area to Minimize Employee times. As an example flexible schedules might enable employees to park closer to the facil- Vulnerability to Criminal Activity. ity by reducing the demand for parking at peak times of the day. Arrange for Employee Parking In/Near Building Minimize exposure to criminal activity by allowing employees to park at or inside the building. After Normal Work Hours. Conduct Background Security Checks and/or Establish procedures to ensure security where private contract personnel are concerned. Pro- Establish Security Control Procedures for cedures may be as simple as observation or could include sign-in/escort. Frequent visitors Service Contract Personnel. 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 hazards of (Shatter Protection). flying glass as a result of impact or explosion. Review Current Projects For Blast Standards ... Design and construction projects should be reviewed if possible, to incorporate current tech- nology and blast standards. Immediate review of ongoing projects may generate savings in the implementation of upgrading to higher blast standards prior to completion of construc- tion. Review/Establish Uniform Standards For Con- Review, establish, and implement uniform construction standards as it relates to security con- struction. siderations. Review/Establish New Design Standard for In smaller facilities or those that lease space, control over design standards may not be pos- Blast RESISTANCE. sible. 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 Construction Every foot between a potential bomb and a building will dramatically reduce damage and in- crease the survival rate. Street set-back is always desirable, but should be used in conjunc- tion 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—Alternative detection and suppression system for storage density of 0.30 gpm per square foot. For Certified Fire-Safety Detection and of Federal records. unrated roofs, provide 0.64″ QR ‘‘large drop’’ Suppression System(s) a. The records storage height must not sprinklers rated at no higher than 285 degrees exceed the nominal 15 feet (+/¥3 inches) Fahrenheit. For facilities using 7 or 8 shelf 1. General. This Appendix B contains records storage height. track files, use QR sprinklers rated at no information on the Fire-safety Detection and b. All records storage and adjoining areas higher than 285 degrees Fahrenheit. For new Suppression System(s) tested by NARA must be protected by automatic wet-pipe construction and replacement sprinklers, through independent live fire testing that are sprinklers. Automatic sprinklers are specified NARA recommends that the sprinklers be certified to meet the requirement in herein because they provide the most rated at 165 degrees Fahrenheit. Installation effective fire protection for high piled storage of the sprinkler system must be in § 1234.12(s) for storage of Federal Records. of paper records on open type shelving. accordance with NFPA 13 (incorporated by Use of a system specified in this appendix is c. The sprinkler system must be rated at no reference, see § 1234.3). optional. A facility may choose to have an higher than 285 degrees Fahrenheit utilizing d. Maximum spacing of the sprinkler heads alternate fire-safety detection and quick response (QR) fire sprinkler heads and must be on a 10-foot grid and the positioning suppression system approved under designed by a licensed fire protection of the heads must provide complete, § 1234.32). engineer to provide the specified density for unobstructed coverage, with a clearance of 2. Specifications for NARA facilities using the most remote 1,500 square feet of floor not less than 18 inches from the top of the 15 foot high records storage. NARA fire- area at the most remote sprinkler head in highest stored materials. safety systems that incorporate all accordance with NFPA 13 (incorporated by e. The sprinkler system must be equipped components specified in paragraphs 2.a. reference, see § 1234.3). For facilities with with a water-flow alarm connected to an through n. of this appendix have been tested roofs rated at 15 minutes or greater, provide audible alarm within the facility and to a and certified to meet the requirements in 1⁄2″ QR sprinklers rated at no higher than 285 continuously staffed fire department or an § 1234.12(s) for an acceptable fire-safety degrees Fahrenheit designed to deliver a Underwriters Laboratory approved central

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monitoring station (see UL 827 (incorporated The minimum number and locations of fire 1235.50 What specifications and standards by reference, see § 1234.3)) with extinguishers must be as required by NFPA for transfer apply to electronic records? responsibility for immediate response. 10 (incorporated by reference, see § 1234.3). Authority: 44 U.S.C. 2107 and 2108. f. A manual fire alarm system must be n. Single level catwalks without automatic provided with a Underwriters Laboratory sprinklers installed underneath may be Subpart A—General Transfer approved (grade A) central monitoring provided in the service aisles if the edges of station service or other automatic means of all files in the front boxes above the catwalks Requirements are stored perpendicular to the aisle (to notifying the municipal fire department. A § 1235.1 What are the authorities for part minimize files exfoliation in a fire). Where manual alarm pull station must be located 1235? adjacent to each exit. Supplemental manual provided, the walking surface of the catwalks alarm stations are permitted within the must be of expanded metal at least .09-inch The statutory authorities for this part records storage areas. thickness with a 2-inch mesh length. The are 44 U.S.C. 2107 and 2108. g. All water cutoff valves in the sprinkler surface opening ratio must be equal or greater system must be equipped with automatic than 0.75. The sprinkler water demand for § 1235.2 What definitions apply to this closure alarm (tamper alarm) connected to a protection over bays with catwalks where part? continuously staffed station, with records above the catwalks are not See § 1220.18 of this subchapter for perpendicular to the aisles must be responsibility for immediate response. If the definitions of terms used in part 1235. sprinkler water cutoff valve is located in an calculated hydraulically to give .30 gpm per area used by the public, in addition to the square foot for the most remote 2,000 square § 1235.3 What standards are used as tamper alarm, the valves must be provided feet. guidance for this part? with frangible (easily broken) padlocks. h. A dependable water supply free of PART 1235—TRANSFER OF RECORDS These regulations conform to interruption must be provided including a TO THE NATIONAL ARCHIVES OF THE guidance provided in ISO 15489– continuous site fire loop connected to the UNITED STATES 1:2001. Paragraphs 8.3 (Designing and water main and sized to support the facility implementing records systems), 9.6 with only one portion of the fire loop Subpart A—General Transfer Requirements (Storage and handling), and 9.7 (Access) operational. This normally requires a backup Sec. are particularly relevant to this part. supply system having sufficient pressure and 1235.1 What are the authorities for part capacity to meet both fire hose and sprinkler 1235? § 1235.4 What publications are requirements for 2-hours. A fire pump 1235.2 What definitions apply to this part? incorporated by reference in this part? connected to an emergency power source 1235.3 What standards are used as guidance (a) Certain material is incorporated by for this part? must be provided in accordance with NFPA reference into this part with the 20 (incorporated by reference, see § 1234.3), 1235.4 What publications are incorporated when adequate water pressure is not assured. by reference in this part? approval of the Director of the Federal In the event that public water mains are not 1235.10 What records do agencies transfer Register under 5 U.S.C. 552(a) and 1 able to supply adequate volumes of water to to the National Archives of the United CFR part 51. To enforce any edition the site, on-site water storage must be States? other than that specified in this section, provided. 1235.12 When must agencies transfer the NARA must publish notice of i. Interior fire hose stations equipped with records to the National Archives of the change in the Federal Register and the 1 United States? a 1 ⁄2 inch diameter hose may be provided in material must be available to the public. the records storage areas if required by the 1235.14 May agencies retain records for the conduct of regular agency business after All approved material is available for local fire department, enabling any point in inspection at the Office of the Federal the records storage area to be reached by a they are eligible for transfer? 50-foot hose stream from a 100-foot hose lay. 1235.16 How will NARA respond to an Register. For information on the If provided, these cabinets must be marked agency’s request to retain records? availability of this material at the Office ‘‘For Fire Department Use Only.’’ 1235.18 How do agencies transfer records to of the Federal Register, call 202–741– j. Where fire hose cabinets are not required, the National Archives of the United 6030 or go to http://www.archives.gov/ fire department hose outlets must be States? federal_register/ 1235.20 How do agencies indicate that provided at each floor landing in the building code_of_federal_regulations/ core or stair shaft. Hose outlets must have an transferred records contain information _ that is restricted from public access? ibr locations.html. easily removable adapter and cap. Threads 1235.22 When does legal custody of records (b) The material incorporated by and valves must be compatible with the local transfer to NARA? fire department’s equipment. Spacing must reference is also available for inspection be so that any point in the record storage area Subpart B—Administration of Transferred at NARA’s Archives Library Information can be reached with a 50-foot hose stream Records Center (NWCCA), Room 2380, 8601 from a 100-foot hose lay. 1235.30 How may records in the National Adelphi Road, College Park, MD 20740– k. In addition to the designed sprinkler Archives of the United States be used? 6001, phone number (301) 837–3415, flow demand, 500 gpm must be provided for 1235.32 How does NARA handle and is available for purchase from the hose stream demand. The hose stream restrictions on transferred records? sources listed below. If you experience demand must be calculated into the system 1235.34 May NARA destroy transferred difficulty obtaining the standards at the base of the main sprinkler riser. records? referenced below, contact National l. Fire hydrants must be located within 250 feet of each exterior entrance or other access Subpart C—Transfer Specifications and Archives and Records Administration, to the records storage facility that could be Standards Electronic/Special Media Records used by firefighters. Each required hydrant 1235.40 What records are covered by Services Division (NWME), 8601 must provide a minimum flow capacity of additional transfer requirements? Adelphi Road, College Park, MD 20740, 500 gpm at 20 psi. All hydrants must be at 1235.42 What specifications and standards phone number (301) 837–1578. least 50 feet away from the building walls for transfer apply to audiovisual, (c) International Organization for and adjacent to a roadway usable by fire cartographic, and related records? Standards (ISO). The following ISO apparatus. Fire hydrants must have at least 1235.44 What general transfer requirements standards are available from the two, 21⁄2 inch hose outlets and a pumper apply to electronic records? American National Standards Institute, connection. All threads must be compatible 1235.46 What electronic media may be used with local standards. for transferring records to the National 25 West 43rd St., 4th Floor, New York, m. Portable water-type fire extinguishers Archives of the United States? NY 10036, phone number (212) 642– (21⁄2 gallon stored pressure type) must be 1235.48 What documentation must agencies 4900, or online at http:// provided at each fire alarm striking station. transfer with electronic records? webstore.ansi.org.

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(1) ISO/IEC 15896:1999 (‘‘ISO/IEC § 1235.10 What records do agencies the records for the specified period 15896’’), Information technology—Data transfer to the National Archives of the within 30 days of receipt of the request. interchange on 12,7 mm 208-track United States? (b) Disapproval. NARA will provide magnetic tape cartridges—DLT 5 format, Agencies must transfer to the National written disapproval of an agency’s First Edition, December 15, 1999, IBR Archives of the United States records request within 30 days. Requests will be approved for § 1235.46. that have been scheduled as permanent denied if the agency is retaining the on an SF 115, Request for Records records primarily to: (2) ISO/IEC 16382:2000 (‘‘ISO/IEC Disposition Authority, records that are (1) Provide access services to persons 16382’’), Information technology—Data designated as permanent in a GRS; and, outside the agency that can be provided interchange on 12,7 mm 208-track when appropriate, records that are by NARA, or magnetic tape cartridges—DLT 6 format, accretions to holdings (continuations of (2) Function as an agency archives, First Edition, May 15, 2000, IBR series already accessioned.) unless specifically authorized by statute approved for § 1235.46. or by NARA. § 1235.12 When must agencies transfer (d) Document Engineering Co., Inc. records to the National Archives of the § 1235.18 How do agencies transfer The following standards are available United States? records to the National Archives of the from the standards reseller DECO— Permanent records must be United States? Document Engineering Co., Inc., 15210 transferred to the National Archives of Agencies transfer records by Stagg Street, Van Nuys, CA, phone the United States when: submitting a signed SF 258, Agreement number (818) 782–1010, or online at (a) The records are eligible for transfer to Transfer Records to the National http://www.doceng.com: based on the transfer date specified in Archives of the United States. Each SF (1) ANSI X3.39–1986 (‘‘ANSI X3.39’’), a NARA-approved records schedule, or 258 must correlate to a specific records American National Standard: Recorded (b) The records have been in existence series or other aggregation of records, as Magnetic Tape for Information for more than 30 years (see also identified in an item on the SF 115 or Interchange (1600 CPI, PE), 1986, IBR § 1235.14). cited on the SF 258. approved for § 1235.46. § 1235.14 May agencies retain records for § 1235.20 How do agencies indicate that (2) [Reserved] the conduct of regular agency business transferred records contain information that after they are eligible for transfer? is restricted from public access? (e) The following standards are not When completing an SF 258, agencies available from the original publisher or (a) Agencies may retain records longer than specified on a records disposition must indicate restrictions on the use a standards reseller. As indicated in and examination of records and attach paragraph (b) of this section, the schedule only with written approval from NARA. a written justification. The justification standards are available for inspection at (b) If the agency determines that the must cite the statute or Freedom of the NWCCA. In order to inspect the records are needed for the conduct of Information Act (FOIA) exemption (5 standards at a NARA location other than regular business, the records officer U.S.C. 552(b) as amended), that the NARA facility in College Park, MD, must submit to the National Archives authorizes the restrictions. please contact the NWCCA, Room 2380, and Records Administration, Modern 8601 Adelphi Road, College Park, MD § 1235.22 When does legal custody of Records Programs (NWM), 8601 records transfer to NARA? 20740–6001, phone number (301) 837– Adelphi Road, College Park, MD 20740– Legal custody of records passes from 3415 or e-mail your request to 6001, phone number (301) 837–1738, a the agency to NARA when the [email protected]. written request certifying continuing appropriate NARA official signs the SF (1) ANSI X3.54–1986 (‘‘ANSI X3.54’’), need. This certification must: 258 acknowledging receipt of the American National Standard: Recorded (1) Include a comprehensive records. Magnetic Tape for Information description and location of records to be Interchange (6250 CPI, Group Coded retained; Subpart B—Administration of Recording), 1986, IBR approved for (2) Cite the NARA-approved Transferred Records § 1235.46. disposition authority; (3) Describe the current business for § 1235.30 How may records in the National (2) ANSI X3.180–1990 (‘‘ANSI which the records are required; Archives of the United States be used? X3.180’’), American National Standard: (4) Estimate the length of time the (a) NARA will enforce restrictions Magnetic Tape and Cartridge for records will be needed (if no date is that are consistent with FOIA (5 U.S.C. Information Interchange—18-Track, provided by the agency, approved 552(b) as amended) for both official use 1 Parallel, ⁄2 inch (12.65 mm), 37871 cpi certification requests will be effective of the records by Federal agencies and (1491 cpmm), Group-Coded— for a maximum of five years); research by the public. Requirements for Recording, 1990, IBR (5) Explain why agency needs cannot (b) NARA regulations in Subchapter C approved for § 1235.46. be met by NARA reference services or of this chapter apply to Federal agency (3) ANSI/NISO/ISO 9660–1990 copies of records deposited in the personnel using transferred records for (‘‘ANSI/NISO/ISO 9660’’), American National Archives of the United States; official Government purposes, and to National Standard for Volume and File and the public at large. Structure of CD–ROM for Information (6) If records are retained to enable routine public reference by the agency § 1235.32 How does NARA handle Exchange, 1990, IBR approved for restrictions on transferred records? § 1235.46. rather than NARA, cite the statutory authority authorizing this agency (a) For records less than 30 years old. (4) ISO/IEC 15307:1997 (‘‘ISO/IEC activity. Unless required by law, NARA will 15307’’), Information technology—Data remove or relax restrictions on interchange on 12,7 mm 128-track § 1235.16 How will NARA respond to an transferred records less than 30 years magnetic tape cartridges—DLT 4 format, agency’s request to retain records? old only with the written concurrence of First Edition, December 1, 1997, IBR (a) Approval. NARA will provide the transferring agency or, if applicable, approved for § 1235.46. written approval of the request to retain its successor agency. If the transferring

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agency no longer exists, and there is no (iii) Sound projection print and video and two compact discs (CDs) or digital successor, the Archivist may relax, recording, if they exist. video disks (DVDs). remove, or impose restrictions to serve (2) Agency-acquired motion picture (ii) For analog disc recordings, the the public interest. films: Two projection prints in good master tape and two disc pressings of (b) For records more than 30 years condition or one projection print and each recording, typically a vinyl copy old. one videotape. for playback at 331⁄3 revolutions per (1) After records are more than 30 (3) Unedited footage, outtakes, and minute (rpm). years old, most statutory and other trims (the discards of film productions) (2) For analog audio recordings on restrictions on transferred records that are properly arranged, labeled, and magnetic tape (open reel, cassette, or expire. NARA, however, after consulting described and show unstaged, cartridge), the original tape, or the with the transferring agency, may keep unrehearsed events of historical interest earliest available generation of the the restrictions in force for a longer or historically significant phenomena: recording, and a subsequent generation period. (i) Original negative or color original; copy for reference. Agencies must (2) See part 1256 of this chapter for and comply with the requirements in 36 (ii) Matching print or videotape. restrictions on specific categories of CFR 1237.12(c) of this subchapter for records, including national security (b) Video recordings. (1) For videotape, the original or audio recordings. classified information and information (f) Finding aids and production that would invade the privacy of an earliest generation videotape and a copy for reference. Agencies must comply documentation. The following records individual that NARA restricts beyond with requirements in § 1237.12(d) of must be transferred to the National 30 years. this subchapter for original videotapes, Archives of the United States with the § 1235.34 May NARA destroy transferred although VHS copies can be transferred audiovisual records to which they records? as reference copies. pertain: NARA will not destroy records (2) For video discs, the premaster (1) Existing finding aids such as data transferred to NARA’s custody except: videotape used to manufacture the sheets, shot lists, continuities, review (a) With the written concurrence of video disc and two copies of the disc. sheets, catalogs, indexes, list of the agency or its successor, or Agencies must consult the National captions, and other documentation that (b) As authorized on an SF 258. Archives and Records Administration, are needed or useful to identify or Special Media Archives Services retrieve audiovisual records. Agencies Subpart C—Transfer Specifications Division, (NWCS), 8601 Adelphi Road, must consult the National Archives and and Standards College Park, MD 20740, phone number Records Administration, Special Media (301) 837–2903, before initiating Archives Services Division (NWCS), § 1235.40 What records are covered by transfers of video discs that depend on 8601 Adelphi Road, College Park, MD additional transfer requirements? interactive software and nonstandard 20740, phone number (301) 837–2903, In addition to complying with equipment. concerning transfer of finding aids that subparts A and B of this part, agencies (c) Still pictures. do not meet the requirements of this must follow the specifications and (1) For analog black-and-white part for electronic records. requirements in this subpart when photographs, an original negative and a (2) Production case files or similar transferring audiovisual, cartographic, captioned print. The captioning files that include copies of production architectural, and electronic records to information may be maintained in contracts, scripts, transcripts, and the National Archives of the United another file such as a database if the file appropriate documentation bearing on States. In general, such records must be number correlation is clear. If the the origin, acquisition, release, and transferred to the National Archives of original negative is nitrate, unstable ownership of the production. the United States as soon as they acetate, or glass based, the agency must (g) Maps and charts. become inactive or whenever the agency also transfer a duplicate negative on a (1) Manuscript maps; printed and cannot provide proper care and polyester base. processed maps on which manuscript handling of the records, including (2) For analog color photographs, the changes, additions, or annotations have adequate storage conditions (see parts original color negative, color been made for record purposes or which 1236 and 1237 of this subchapter). transparency, or color slide; a captioned bear manuscript signatures to indicate print (or captioning information official approval; and single printed or § 1235.42 What specifications and maintained in another file if the file standards for transfer apply to audiovisual processed maps that have been attached records, cartographic, and related records? number correlation is clear); and a to or interfiled with other documents of duplicate negative, or slide, or In general the physical types a record character or in any way made transparency, if they exist. an integral part of a record. described below comprise the minimum (3) For slide sets, the original and a (2) Master sets of printed or processed record elements that are needed for reference set, and the related audio maps issued by the agency. A master set future preservation, duplication, and recording (in accordance with paragraph must include one copy of each edition reference for audiovisual records, (e) of this section) and script. cartographic records, and related (4) For other pictorial records such as of a printed or processed map issued. records. posters, original art work, and (3) Paper copies of computer-related (a) Motion pictures. filmstrips, the original and a reference and computer-plotted maps that can no (1) Agency-sponsored or produced copy. longer be reproduced electronically. motion picture films (e.g., public (d) Digital photographic records. See (4) Index maps, card indexes, lists, information films) whether for public or 36 CFR 1235.48(e) and 1235.50(e) for catalogs, or other finding aids that may internal use: transfer requirements for digital be helpful in using the maps transferred. (i) Original negative or color original photographic records. (5) Records related to preparing, plus separate optical sound track; (e) Sound recordings. compiling, editing, or printing maps, (ii) Intermediate master positive or (1) Disc recordings. such as manuscript field notebooks of duplicate negative plus optical track (i) For electronic recordings, the surveys, triangulation and other sound track; and, origination recording regardless of form geodetic computations, and project

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folders containing agency specifications (5) Related finding aids and CFR 1236.28 for the requirements for creating the maps. specifications to be followed. governing the selection of electronic (h) Aerial photography and remote (j) Digital geospatial data records. See records storage media for current agency sensing imagery, including: § 1235.48(c) for transfer requirements use.) The agency must use only media (1) Vertical and oblique negative for digital geospatial data records. that is are sound and free from defects aerial film created using conventional § 1235.44 What general transfer for transfers to the National Archives of aircraft. the United States. When permanent (2) Annotated copy negatives, requirements apply to electronic records? internegatives, rectified negatives, and (a) Each agency must retain a copy of electronic records may be disseminated glass plate negatives from vertical and permanent electronic records that it through multiple electronic media (e.g., oblique aerial film created using transfers to NARA until it receives magnetic tape, CD–ROM) or conventional aircraft. official notification that NARA has mechanisms (e.g., FTP), the agency and (3) Annotated prints from aerial film assumed responsibility for continuing NARA must agree on the most created using conventional aircraft. preservation of the records. appropriate medium or method for (4) Infrared, ultraviolet, multispectral (b) For guidance related to the transfer transfer of the records into the National (multiband), video, imagery radar, and of electronic records other than those Archives of the United States. related tapes, converted to a film base. covered in this subpart, the agency must (b) Magnetic tape. Agencies may (5) Indexes and other finding aids in consult with the National Archives and transfer electronic records to the the form of photo mosaics, flight line Records Administration, Electronic/ National Archives of the United States indexes, coded grids, and coordinate Special Media Records Services on magnetic tape as follows: grids. Division (NWME), 8601 Adelphi Road, (i) Architectural and related College Park, MD 20740, phone number (1) Open-reel magnetic tape must be engineering drawings, including: (301) 837–3420. on 1⁄2-inch 9-track tape reels recorded at (1) Design drawings, preliminary and (c) When transferring digital 1600 or 6250 bpi that meet ANSI X3.39 presentation drawings, and models that photographs and their accompanying or ANSI X3.54 (both incorporated by document the evolution of the design of metatdata, the agency must consult with reference, see § 1235.4), respectively. a building or structure. the National Archives and Records (2) 18-track 3480-class cartridges must (2) Master sets of drawings that Administration, Special Media Archives be recorded at 37,871 bpi that meet document both the initial design and Services Division (NWCS) for digital ANSI X3.180 (incorporated by reference construction and subsequent alterations photographs, 8601 Adelphi Road, see, § 1235.4). The data must be blocked of a building or structure. This category College Park, MD 20740, phone number includes final working drawings, ‘‘as- (301) 837–2903. at no more than 32,760 bytes per block. built’’ drawings, shop drawings, and (3) For DLT tape IV cartridges, the repair and alteration drawings. § 1235.46 What electronic media may be data must be blocked at no more than (3) Drawings of repetitive or standard used for transferring records to the National Archives of the United States? 32,760 bytes per block and must details of one or more buildings or conform to the standards cited in the structures. (a) General. This section specifies the table as follows: (4) ‘‘Measured’’ drawings of existing media or method used to transfer buildings and original or photocopies of permanent records to the National drawings reviewed for approval. Archives of the United States. (See 36

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 specify whether NARA should return Agencies must contact the National (CD–ROM) and Digital Video Disks the CD–ROM or DVD to the agency or Archives and Records Administration, (DVDs). Agencies may use CD–ROMs dispose of it after copying the Special Media Archives Services and DVDs to transfer permanent permanent records to an archival Division (NWCS), 8601 Adelphi Road, electronic records to the National medium. College Park, MD 20740, phone number Archives of the United States. (3) If permanent electronic records are (301) 837–2903, or the National (1) CD–ROMs used for this purpose stored on both CD–ROM (or DVD) and Archives and Records Administration, must conform to ANSI/NISO/ISO 9660 other media, such as magnetic tape, the Electronic/Special Media Records (incorporated by reference, see agency and NARA must agree on the Services Division (NWME), 8601 § 1235.4). medium that will be used to transfer the Adelphi Road, College Park, MD 20740, (2) Permanent electronic records must records into the National Archives of phone number (301) 837–1578, to be stored in discrete files. Transferred the United States. initiate the transfer discussions. Each CD–ROMs and DVDs may contain other (d) File Transfer Protocol. Agencies transfer of electronic records via FTP files, such as software or temporary may use File Transfer Protocol (FTP) to must be preceded with a signed SF 258 records, but all permanent records must transfer permanent electronic records to sent to NWME. be in files that contain only permanent the National Archives of the United (1) FTP file structure may use the 64- records. Agencies must indicate at the States only with NARA’s approval. character Joliet extension naming time of transfer if a CD–ROM or DVD Several important factors may limit the convention only when letters, numbers, contains temporary records and where use of FTP as a transfer method, dashes (–), and underscores (___) are those records are located on the CD– including the number of records, record used in the file and/or directory names, ROM or DVD. The agency must also file size, and available bandwidth. with a slash (/) used to indicate

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directory structures. Otherwise, FTP file are available on the NARA Electronic must not contain extraneous control structure must conform to an 8.3 file Records Management Initiative Web characters, except record length naming convention and file directory page at http://www.archives.gov/ indicators for variable length records, or structure as cited in ANSI/NISO/ISO records-mgmt/initiatives/transfer-to- marks delimiting a data element, field, 9660 (incorporated by reference, see nara.html or from the National Archives record, or file. If records or data § 1235.4). and Records Administration, Special elements in different files need to be (2) Permanent electronic records must Media Archives Services Division linked or combined, then each record be transferred in discrete files, separate (NWCS), 8601 Adelphi Road, College must contain one or more data elements from temporary files. All permanent Park, MD 20740, phone number (301) that constitute primary and/or foreign records must be transferred in files that 837–2903 for digital photographs and keys enabling valid linkages between contain only permanent records. metadata, or the National Archives and the related records in separate files. Records Administration, Electronic/ (c) Digital geospatial data files. Digital § 1235.48 What documentation must spatial data files must be transferred to agencies transfer with electronic records? Special Media Records Services Division (NWME), 8601 Adelphi Road, the National Archives of the United (a) General. Agencies must transfer College Park, MD 20740, phone number States in a format that complies with a documentation adequate to identify, 301–837–1578, for other electronic non-proprietary, published open service, and interpret the permanent records. standard maintained by or for a Federal, electronic records This documentation national, or international standards must include completed NARA Form § 1235.50 What specifications and organization. Acceptable transfer 14097, Technical Description for standards for transfer apply to electronic formats include the Geography Markup Transfer of Electronic Records, for records? Language (GML) as defined by the Open magnetic tape media, and a completed (a) General. GIS Consortium. NARA Form 14028, Information System (1) Agencies must transfer electronic (d) Textual documents. Electronic Description Form, or their equivalents. records in a format that is independent textual documents must be transferred Agencies must submit the required of specific hardware or software. Except as plain ASCII files; however, such files documentation, if electronic, in an as specified in paragraphs (c) through may contain standard markup language electronic form that conforms to the (e) of this section, the records must be such as Standard Generalized Markup provisions of this section. written in American Standard Code for Language (SGML) or XML tags. (b) Data files. Documentation for data Information Interchange (ASCII) or (e) Electronic mail, scanned images of files and data bases must include record Extended Binary Coded Decimal textual records, portable document layouts, data element definitions, and Interchange Code (EBCDIC) with all format records, digital photographic code translation tables (codebooks) for control characters and other non-data records, and Web content records. For coded data. Data element definitions, characters removed. Agencies must guidance on the transfer of these records codes used to represent data values, and consult with the National Archives and to NARA, agencies should consult the interpretations of these codes must Records Administration, Electronic/ transfer requirements available on the match the actual format and codes as Special Media Records Services NARA Electronic Records Management transferred. Division (NWME), 8601 Adelphi Road, Initiative Web page at http:// (c) Digital geospatial data files. Digital College Park, MD 20740, phone number www.archives.gov/records-mgmt/ geospatial data files must include the (301) 837–1578 about electronic records initiatives/transfer-to-nara.html or documentation specified in paragraph in other formats. contact the National Archives and (b) of this section. In addition, (2) Agencies must have advance Records Administration, Special Media documentation for digital geospatial approval from NARA for compression of Archives Services Division (NWCS), data files can include metadata that the records, and agencies must comply 8601 Adelphi Road, College Park, MD conforms to the Federal Geographic with a request from NARA to provide 20740, phone number 301–837–2903 for Data Committee’s Content Standards for the software to decompress the records. digital photographs and metadata, or the Digital Geospatial Metadata, as specified (3) Agencies interested in transferring National Archives and Records in Executive Order 12906 of April 11, scheduled electronic records using a Administration, Electronic/Special 1994 (3 CFR, 1995 Comp., p. 882) Tape Archive (TAR) utility must contact Media Records Services Division (Federal geographic data standards are the National Archives and Records (NWME), 8601 Adelphi Road, College available at http://www.fgdc.gov/ Administration, Electronic/Special Park, MD 20740, phone number (301) standards/standards_publications). Media Records Services Division 837–1578, for other electronic records, (d) Documents containing SGML tags. (NWME), 8601 Adelphi Road, College Documentation for electronic files Park, MD 20740, phone number (301) PART 1236—ELECTRONIC RECORDS containing textual documents with 837–1578 to initiate transfer MANAGEMENT SGML tags must include a table for discussions. Subpart A—General (b) Data files and databases. Data files interpreting the SGML tags, when Sec. appropriate. and databases must be transferred to the National Archives of the United States 1236.1 What are the authorities for part (e) Electronic records in other formats. 1236? (1) This paragraph (e) applies to the as flat files or as rectangular tables; i.e., 1236.2 What definitions apply to this part? documentation for the following types as two-dimensional arrays, lists, or 1236.4 What standards are used as of electronic records: tables. All ‘‘records’’ (within the context guidance for this part? (i) E-mail messages with attachments; of the computer program, as opposed to 1236.6 What are agency responsibilities for (ii) Scanned images of textual records; a Federal record) or ‘‘tuples,’’ i.e., electronic records management? (iii) Records in portable document ordered collections of data items, within Subpart B—Records Management and format (PDF); a file or table must have the same logical Preservation Considerations for Designing (iv) Digital photographic records; and format. Each data element within a and Implementing Electronic Information (v) Web content records. record must contain only one data Systems (2) Guidance on the documentation value. A record must not contain nested 1236.10 What records management for electronic records in these formats repeating groups of data items. The file controls must agencies establish for

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records in electronic information automation applications such as operational circumstances about the systems? electronic mail and other messaging record, which will vary depending upon 1236.12 What other records management applications, word processing, or the business, legal, and regulatory and preservation considerations must be presentation software. requirements of the business activity; incorporated into the design, and development, and implementation of § 1236.4 What standards are used as electronic information systems? (g) Structure: controls to ensure the guidance for this part? maintenance of the physical and logical 1236.14 What must agencies do to protect These regulations conform with ISO records against technological format of the records and the obsolescence? 15489–1:2001. Paragraph 9.6 (Storage relationships between the data and handling) is relevant to this part. elements. Subpart C—Additional Requirements for Electronic Records § 1236.6 What are agency responsibilities § 1236.12 What other records management 1236.20 What are appropriate for electronic records management? and preservation considerations must be recordkeeping systems for electronic Agencies must: incorporated into the design, development, records? (a) Incorporate management of and implementation of electronic 1236.22 What are the additional electronic records into the records information systems? requirements for managing electronic management activities required by parts As part of the capital planning and mail records? 1220–1235 of this subchapter; systems development life cycle 1236.24 What are the additional (b) Integrate records management and processes, agencies must ensure: requirements for managing unstructured preservation considerations into the (a) That records management controls electronic records? (see § 1236.10) are planned and 1236.26 What actions must agencies take to design, development, enhancement, and maintain electronic information systems? implementation of electronic implemented in the system; 1236.28 What additional requirements information systems in accordance with (b) That all records in the system will apply to the selection and maintenance subpart B of this part; and be retrievable and usable for as long as of electronic records storage media for (c) Appropriately manage electronic needed to conduct agency business (i.e., permanent records? records in accordance with subpart C of for their NARA-approved retention Authority: 44 U.S.C. 2904, 3101, 3102, and this part. period). Where the records will need to 3105. be retained beyond the planned life of Subpart B—Records Management and the system, agencies must plan and Subpart A—General Preservation Considerations for budget for the migration of records and Designing and Implementing their associated metadata to new storage § 1236.1 What are the authorities for part Electronic Information Systems media or formats in order to avoid loss 1236? due to media decay or technology § 1236.10 What records management The statutory authority for this part is obsolescence. (See § 1236.14.) 44 U.S.C. 2904, 3101, 3102, and 3105. controls must agencies establish for records in electronic information systems? (c) The transfer of permanent records OMB Circular A–130, Management of to NARA in accordance with part 1235 Federal Information Resources, applies The following types of records of this subchapter. to records and information systems management controls are needed to (d) Provision of a standard containing records. ensure that Federal records in electronic interchange format (e.g., ASCII or XML) information systems can provide when needed to permit the exchange of § 1236.2 What definitions apply to this adequate and proper documentation of part? electronic documents between offices agency business for as long as the using different software or operating (a) See § 1220.18 of this subchapter information is needed. Agencies must systems. for definitions of terms used throughout incorporate controls into the electronic Subchapter B, including part 1236. information system or integrate them § 1236.14 What must agencies do to (b) As used in part 1236— into a recordkeeping system that is protect records against technological Electronic information system means external to the information system itself obsolescence? an information system that contains and (see § 1236.20 of this part). Agencies must design and implement provides access to computerized Federal (a) Reliability: Controls to ensure a migration strategies to counteract records and other information. full and accurate representation of the hardware and software dependencies of Electronic mail system means a transactions, activities or facts to which electronic records whenever the records computer application used to create, they attest and can be depended upon must be maintained and used beyond receive, and transmit messages and in the course of subsequent transactions the life of the information system in other documents. Excluded from this or activities. which the records are originally created definition are file transfer utilities (b) Authenticity: Controls to protect or captured. To successfully protect (software that transmits files between against unauthorized addition, deletion, records against technological users but does not retain any alteration, use, and concealment. obsolescence, agencies must: transmission data), data systems used to (c) Integrity: Controls, such as audit (a) Determine if the NARA-approved collect and process data that have been trails, to ensure records are complete retention period for the records will be organized into data files or data bases on and unaltered. longer than the life of the system where either personal computers or mainframe (d) Usability: Mechanisms to ensure they are currently stored. If so, plan for computers, and word processing records can be located, retrieved, the migration of the records to a new documents not transmitted on an e-mail presented, and interpreted. system before the current system is system. (e) Content: Mechanisms to preserve retired. Metadata consists of preserved the information contained within the (b) Carry out upgrades of hardware contextual information describing the record itself that was produced by the and software in such a way as to retain history, tracking, and/or management of creator of the record; the functionality and integrity of the an electronic document. (f) Context: Mechanisms to implement electronic records created in them. Unstructured electronic records cross-references to related records that Retention of record functionality and means records created using office show the organizational, functional, and integrity requires:

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(1) Retaining the records in a usable media or formats in order to avoid loss term NARA-approved retention periods format until their authorized disposition due to media decay or technology (transitory records with a very short- date. Where migration includes obsolescence. term retention period of 180 days or less conversion of records, ensure that the (7) Execute disposition. Identify and as provided by GRS 23, Item 7, or by a authorized disposition of the records effect the transfer of permanent records NARA-approved agency records can be implemented after conversion; to NARA based on approved records schedule) on the electronic mail system (2) Any necessary conversion of schedules. Identify and delete itself, without the need to copy the storage media to provide compatibility temporary records that are eligible for record to a paper or electronic with current hardware and software; disposal. Apply records hold or freeze recordkeeping system, provided that: and on disposition when required. (1) Users do not delete the messages (3) Maintaining a link between (c) Backup systems. System and file before the expiration of the NARA- records and their metadata through backup processes and media do not approved retention period, and conversion or migration, including provide the appropriate recordkeeping (2) The system’s automatic deletion capture of all relevant associated functionalities and must not be used as rules ensure preservation of the records metadata at the point of migration (for the agency electronic recordkeeping until the expiration of the NARA- both the records and the migration system. approved retention period. process). (d) Except for those electronic mail (c) Ensure that migration strategies § 1236.22 What are the additional requirements for managing electronic mail records within the scope of paragraph address non-active electronic records records? (c) of this section: that are stored off-line. (a) Agencies must issue instructions (1) Agencies must not use an Subpart C—Additional Requirements to staff on the following retention and electronic mail system to store the for Electronic Records management requirements for electronic recordkeeping copy of electronic mail mail records: messages identified as Federal records § 1236.20 What are appropriate (1) The names of sender and all unless that system has all of the features recordkeeping systems for electronic addressee(s) and date the message was specified in § 1236.20(b) of this part. records? sent must be preserved for each (2) If the electronic mail system is not (a) General. Agencies must use electronic mail record in order for the designed to be a recordkeeping system, electronic or paper recordkeeping context of the message to be understood. agencies must instruct staff on how to systems or a combination of those The agency may determine that other copy Federal records from the electronic systems, depending on their business metadata is needed to meet agency mail system to a recordkeeping system. needs, for managing their records. business needs, e.g., receipt (e) Agencies that retain permanent Transitory e-mail may be managed as information. electronic mail records scheduled for specified in § 1236.22(c). (2) Attachments to electronic mail transfer to the National Archives must (b) Electronic recordkeeping. messages that are an integral part of the either store them in a format and on a Recordkeeping functionality may be record must be preserved as part of the medium that conforms to the built into the electronic information electronic mail record or linked to the requirements concerning transfer at 36 system or records can be transferred to electronic mail record with other related CFR part 1235 or maintain the ability to an electronic recordkeeping repository, records. convert the records to the required such as a DoD–5015.2 STD-certified (3) If the electronic mail system format and medium at the time transfer product. The following functionalities identifies users by codes or nicknames is scheduled. are necessary for electronic or identifies addressees only by the (f) Agencies that maintain paper recordkeeping: name of a distribution list, retain the recordkeeping systems must print and (1) Declare records. Assign unique intelligent or full names on directories file their electronic mail records with identifiers to records. or distributions lists to ensure the related transmission and receipt (2) Capture records. Import records identification of the sender and data specified by the agency’s electronic from other sources, manually enter addressee(s) of messages that are mail instructions. records into the system, or link records records. to other systems. (4) Some e-mail systems provide § 1236.24 What are the additional (3) Organize records. Associate with calendars and task lists for users. These requirements for managing unstructured electronic records? an approved records schedule and may meet the definition of Federal disposition instruction. record. Calendars that meet the (a) Agencies that manage unstructured (4) Maintain records security. Prevent definition of Federal records are to be electronic records electronically must the unauthorized access, modification, managed in accordance with the ensure that the records are filed in a or deletion of declared records, and provisions of GRS 23, Item 5. recordkeeping system that meets the ensure that appropriate audit trails are (5) Draft documents that are requirements in § 1236.10, except that in place to track use of the records. circulated on electronic mail systems transitory e-mail may be managed in (5) Manage access and retrieval. may be records if they meet the criteria accordance with § 1236.22(c). Establish the appropriate rights for users specified in 36 CFR 1222.10(b) of this (b) Agencies that maintain paper files to access the records and facilitate the subchapter. as their recordkeeping systems must search and retrieval of records. (b) Agencies that allow employees to establish policies and issue instructions (6) Preserve records. Ensure that all send and receive official electronic mail to staff to ensure that unstructured records in the system are retrievable and messages using a system not operated by records are printed out for filing in a usable for as long as needed to conduct the agency must ensure that Federal way that captures any pertinent hidden agency business and to meet NARA- records sent or received on such text (such as comment fields) or approved dispositions. Agencies must systems are preserved in the appropriate structural relationships (e.g., among develop procedures to enable the agency recordkeeping system. worksheets in spreadsheets or other migration of records and their (c) Agencies may elect to manage complex documents) required to meet associated metadata to new storage electronic mail records with very short- agency business needs.

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§ 1236.26 What actions must agencies or scheduled for permanent retention. 1237.30 How do agencies manage records take to maintain electronic information This test should verify that the magnetic on nitrocellulose-base and cellulose- systems? computer tape media are free of acetate base film? (a) Agencies must maintain permanent errors and in compliance Authority: 44 U.S.C. 2904 and 3101. inventories of electronic information with NIST or industry standards. § 1237.1 What is the applicability and systems and review the systems (e) Agencies must annually read a periodically for conformance to scope of this part? statistical sample of all magnetic Agencies must manage audiovisual, established agency procedures, computer tape media containing standards, and policies as part of the cartographic, and related records in permanent and unscheduled records to accordance with parts 1220–1235. This periodic reviews required by 44 U.S.C. identify any loss of data and to discover 3506. The review should determine if part prescribes additional policies and and correct the causes of data loss. In procedures for managing audiovisual, the records have been properly magnetic computer tape libraries with identified and described, and if the cartographic, and related records to 1800 or fewer tape media, a 20% sample ensure adequate and proper schedule descriptions and retention or a sample size of 50 media, whichever periods reflect the current informational documentation and authorized, timely, is larger, should be read. In magnetic and appropriate disposition. content and use. If not, agencies must computer tape libraries with more than submit an SF 115, Request for Records 1800 media, a sample of 384 media § 1237.2 What are the authorities for part Disposition Authority, to NARA. should be read. Magnetic computer tape 1237? (b) Agencies must maintain up-to-date media with 10 or more errors should be documentation about electronic The authorities for this part are 44 replaced and, when possible, lost data information systems that is adequate to: U.S.C. 2904 and 3101. must be restored. All other magnetic (1) Specify all technical computer tape media which might have § 1237.3 What standards are incorporated characteristics necessary for reading and been affected by the same cause (i.e., by reference in this part? processing the records contained in the poor quality tape, high usage, poor (a) Certain material is incorporated by system; environment, improper handling) must reference into this part with the (2) Identify all inputs and outputs; be read and corrected as appropriate. approval of the Director of the Federal (3) Define the contents of the files and Register under 5 U.S.C. 552(a) and 1 (f) Before the media are 10 years old, records; CFR part 51. To enforce any edition agencies must copy permanent or (4) Determine restrictions on access other than that specified in this section, unscheduled data on magnetic records and use; NARA must publish notice of change in storage media onto tested and verified (5) Understand the purpose(s) and the Federal Register and the material new electronic media. function(s) of the system; must be available to the public. All (6) Describe update cycles or PART 1237—AUDIOVISUAL, approved material is available for conditions and rules for adding, inspection at the Office of the Federal changing, or deleting information in the CARTOGRAPHIC, AND RELATED RECORDS MANAGEMENT Register. For information on the system; and availability of this material at the Office (7) Ensure the timely, authorized Sec. of the Federal Register, call (202) 741– disposition of the records. 1237.1 What is the applicability and scope 6030 or go to http://www.archives.gov/ of this part? § 1236.28 What additional requirements federal_register/code_of_federal_ apply to the selection and maintenance of 1237.2 What are the authorities for part regulations/ibr_locations.html. electronic records storage media for 1237? (b) The material incorporated by permanent records? 1237.3 What standards are incorporated by reference for this part? reference is also available for inspection (a) Agencies must maintain the 1237.4 What definitions apply to this part? at NARA’s Archives Library Information storage and test areas for electronic 1237.10 How must agencies manage their Center (NWCCA), Room 2380, 8601 records storage media containing audiovisual, cartographic, and related Adelphi Road, College Park, MD 20740– permanent and unscheduled records records? 6001, phone number (301) 837–3415, within the following temperature and 1237.12 What record elements must be and is available for purchase from the relative humidity ranges: created and preserved for permanent sources listed below. If you experience (1) Temperature—62° to 68° F. audiovisual records? difficulty obtaining the standards (2) Relative humidity—35% to 45%. 1237.14 What are the scheduling referenced below, contact NARA’s (b) Electronic media storage libraries requirements for audiovisual, Policy and Planning Staff (NPOL), and test or evaluation areas that contain cartographic, and related records? National Archives and Records 1237.16 How do agencies store audiovisual Administration, 8601 Adelphi Road, permanent or unscheduled records must records? be smoke-free. 1237.18 What are the environmental College Park, MD 20740–6001, phone (c) For additional guidance on the standards for audiovisual records number (301) 837–1850. maintenance and storage of CDs and storage? (c) American National Standards DVDS, agencies may consult the 1237.20 What are special considerations in Institute (ANSI) and International National Institute of Standards and the maintenance of audiovisual records? Organization for Standards (ISO) Technology (NIST) Special Publication 1237.22 What are special considerations in standards. The following ANSI and ISO 500–252, Care and Handling of CDs and the storage and maintenance of standards are available from the DVDs at http://www.itl.nist.gov/iad/ cartographic and related records? American National Standards Institute, 894.05/papers/ 1237.24 What are the special considerations 25 West 43rd St., 4th Floor, New York, CDandDVDCareandHandlingGuide.pdf, for storage and maintenance of aerial NY 10036, phone number (212) 642– photographic records? contact phone number (301) 975–6478. 1237.26 What materials and processes must 4900, or online at http:// (d) Agencies must test magnetic agencies use to create audiovisual webstore.ansi.org. computer tape media no more than 6 records? (1) ISO 18906: 2000 (‘‘ISO 18906’’), months prior to using them to store 1237.28 What special concerns apply to Imaging Materials—Photographic electronic records that are unscheduled digital photographs? Films—Specifications for Safety Film,

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First Edition, December 15, 2000, IBR Attributes—Part 1: Sampling Plans photographs and motion media (i.e., approved for § 1237.26. Indexed by Acceptable Quality Level moving images whether on motion (2) ISO 18911: 2000 (‘‘ISO 18911’’), (AQL) for Lot-by-Lot Inspection, 1996, picture film or as video recordings), Imaging materials—Processed safety IBR approved for § 1237.28. sound recordings, graphic works (e.g., photographic films—Storage practices, (2) ANSI/NAPM IT9.11–1993 (‘‘ANSI/ printed posters), mixed media, and First Edition, November 1, 2000, IBR NAPM IT9.11–1993’’), Imaging Media— related finding aids and production approved for § 1238.20, IBR approved Processed Safety Photographic Films— files. for §§ 1237.16 and 1237.18. Storage, 1993, IBR approved for Cartographic records means graphic (3) ISO 18920: 2000 (‘‘ISO 18920’’), § 1237.16. representations drawn to scale of Imaging Materials—Processed selected cultural and physical features Photographic Reflection Prints—Storage § 1237.4 What definitions apply to this of the surface of the earth, of other part? Practices, First Edition, July 15, 2000, planetary bodies, and of the atmosphere. IBR approved for § 1237.18. (a) See § 1220.18 of this subchapter They include maps, charts, photomaps, (4) ANSI/AIIM TR34: 1996 (‘‘ANSI/ for definitions of terms used throughout orthophotomaps and images, atlases, AIIM TR34’’), Sampling Procedures for Subchapter B, including part 1237. cartograms, globes, and relief models. Inspection by Attributes of Images in (b) As used in part 1237— Related records are those that are Aerial photographic records means Electronic Image Management and integral to the map-making process, film-based images of the surface of the Micrographic Systems, May 13, 1996, such as field survey notes, geodetic earth, of other planetary bodies, or of IBR approved for § 1237.28. controls, map history case files, source the atmosphere that have been taken (d) National Fire Protection material, indexes, and finding aids. Association (NFPA). The following from airborne vehicles or satellites. standards are available from the They include vertical and oblique aerial § 1237.10 How must agencies manage National Fire Protection Association, negative film taken from conventional their audiovisual, cartographic, and related 1 Batterymarch Park, P.O. Box 9109, aircraft as well as copy negatives, records? Quincy, MA 02269–9101, phone internegatives, rectified negatives, and Each Federal agency must manage its number (617) 770–3000 or online at annotated and other prints from these audiovisual, cartographic and related http://catalog.nfpa.org. negatives. Also included are infrared, records as required in parts 1220 (1) NFPA 40–2007 (‘‘NFPA 40– ultraviolet, multispectral, video, and through 1235. In addition, agencies 2007’’), Standard for the Storage and radar imagery that has been converted to must: Handling of Cellulose Nitrate Film, a film base. These records also include (a) Prescribe the types of audiovisual, 2007, IBR approved for § 1237.30. the relevant index system in whatever cartographic, and related records to be (2) Reserved. form it may exist such as mosaics, created and maintained. (See § 1235.42 (e) Techstreet. The following flight-line overlays or annotated maps, of this subchapter for transfer standards are available from the or electronic data bases capturing the requirements for permanent audiovisual standards reseller Techstreet, 3916 latitude and longitude (or other records.) Ranchero Drive, Ann Arbor, MI 48108, coordinate-based location data) of (b) Create and maintain current phone number (800) 699–9277, or individual aerial photographic center inventories showing the location of all online at http://www.Techstreet.com. points. generations of audiovisual records and (1) ISO 18902: 2001 (‘‘ISO 18902’’), Architectural and engineering records all cartographic and related records, Imaging Materials—Processed means graphic records that depict the especially those not maintained Photographic Films, Plates, and proposed and actual construction of centrally by the agency. Papers—Filing Enclosures and Storage stationary structures, such as buildings, § 1237.12 What record elements must be Containers, 2001, IBR approved for bridges, and canals as well as movable created and preserved for permanent § 1237.16. objects, such as ships, aircraft, vehicles, audiovisual records? (2) ISO 18923: 2000 (‘‘ISO 18923’’), weapons, machinery, and equipment. For permanent audiovisual records, Imaging Materials—Polyester-Base These records are also known as design the following record elements must be Magnetic Tape—Storage Practices, First and construction drawings and include created or acquired and preserved for Edition, June 1, 2000, IBR approved for closely related indexes and written transfer into the National Archives of § 1237.18. specifications. the United States. (See § 1235.42 of this (3) ISO 18925: 2002 (‘‘ISO 18925’’), Audiovisual means any pictorial or subchapter for transfer requirements for Imaging Materials—Optical Disc aural means of communicating permanent audiovisual records.) Media—Storage Practices, First Edition, information, e.g., photographic prints, (a) Motion pictures. June 1, 2002, IBR approved for negatives, slides, digital images, sound (1) Agency-sponsored or produced § 1237.18. recordings, and moving images. motion picture films (e.g., public (f) The following standards are not Audiovisual equipment means information films) whether for public or available from the original publisher or equipment used for recording, internal use: a standards reseller. As indicated in producing, duplicating, processing, (i) Original negative or color original paragraph (b) of this section, the broadcasting, distributing, storing, or plus separate optical sound track; standards are available for inspection at exhibiting audiovisual materials or for (ii) Intermediate master positive or the NWCCA. In order to inspect the providing any audiovisual services. duplicate negative plus optical track standards at a NARA location other than Audiovisual production means an sound track; and, the NARA facility in College Park, MD, organized and unified presentation, (iii) Sound projection print and video please contact the NWCCA, Room 2380, developed according to a plan or script, recording, if both exist. 8601 Adelphi Road, College Park, MD containing visual imagery, sound, or (2) Agency-acquired motion picture 20740–6001, phone number (301) 837– both, and used to convey information. films: Two projection prints in good 3415 or e-mail your request to An audiovisual production generally is condition or one projection print and [email protected]. a self-contained presentation. one videotape. (1) ISO 2859–1: 1996 (‘‘ISO 2859–1’’), Audiovisual records means records in (3) Unedited footage, outtakes and Sampling Procedures for Inspection by pictorial or aural form, including still trims (the discards of film productions)

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that are properly arranged, labeled, and (2) Production case files or similar (f) Store optical disks in individual described and show unstaged, files that include copies of production containers and use felt-tip, water-based unrehearsed events of historical interest contracts, scripts, transcripts, and markers for disk labeling. or historically significant phenomena: appropriate documentation bearing on (i) Original negative or color original; the origin, acquisition, release, and § 1237.18 What are the environmental standards for audiovisual records storage? and ownership of the production. (ii) Matching print or videotape. (a) Photographic film and prints. The (b) Video recordings. § 1237.14 What are the additional requirements in this paragraph apply to (1) For analog videotapes, the original scheduling requirements for audiovisual, permanent, long-term temporary, and or earliest generation videotape using cartographic, and related records? unscheduled audiovisual records. industrial-quality or professional The disposition instructions should (1) General guidance. Keep all film in videotapes for originals and a copy for also provide that permanent records be cold storage following guidance by the reference. transferred to the National Archives of International Organization for (2) For video discs, the premaster the United States within 5–10 years Standardization in ISO 18911 video used to manufacture the video after creation (see also 36 CFR part (incorporated by reference, see disc and two copies of the disc. 1235). See § 1235.42 of this subchapter § 1237.3). See also ISO 18920 (c) Still pictures. for specifications and standards for (incorporated by reference, see (1) For analog black-and-white transfer to the National Archives of the § 1237.3). photographs, an original negative and a United States of audiovisual, (2) Color images and acetate-based captioned print or the captioning cartographic, and related records. media. Keep in an area maintained information maintained in another file below 40 degrees Fahrenheit with 20– § 1237.16 How do agencies store such as a data base if the file number audiovisual records? 40% relative humidity to retard the correlation is clear. If the original fading of color images and the negative is nitrate, unstable acetate, or Agencies must maintain appropriate deterioration of acetate-based media. glass based, a duplicate negative on a storage conditions for permanent, long- (b) Digital images on magnetic tape. polyester base is needed. term temporary or unscheduled For digital images stored on magnetic (2) For analog color photographs, the audiovisual records: tape, keep in an area maintained at a original color negative, color (a) Ensure that audiovisual records constant temperature range of 62 transparency, or color slide; a captioned storage facilities comply with 36 CFR degrees Fahrenheit to 68 degrees print of the original color negative and/ part 1234. Fahrenheit, with constant relative or captioning information in another file (b) For the storage of permanent, long- humidity from 35% to 45%. See also the such as a data base with a clear term temporary, or unscheduled recommendations in ISO 18923 correlation to the relevant image; and a records, use audiovisual storage (incorporated by reference, see duplicate negative, or slide, or containers or enclosures made of non- § 1237.3); and the requirements for transparency. corroding metal, inert plastics, paper electronic records storage in 36 CFR (3) For slide sets, the original and a products and other safe materials 1236.28. reference set, and the related audio recommended in ISO 18902 and ISO (c) Digital images on optical media. recording and script. 18911 (both incorporated by reference, For permanent, long-term temporary, or (4) For other pictorial records such as see § 1237.3); unscheduled digital images maintained posters, original art work, and (c) Store originals and use copies (e.g., on optical media (e.g., CDs, DVDs), use filmstrips, the original and a reference negatives and prints) separately, the recommended storage temperature copy. whenever practicable. Store distinct and humidity levels stated in ISO 18925 (d) Digital photographic records. See audiovisual record series separately (incorporated by reference, see § 1237.28 for requirements for digital from textual series (e.g., store poster § 1237.3). photographs. series separately from other kinds of (e) Sound recordings. agency publications, or photographic § 1237.20 What are special considerations (1) Disc recordings: series separately from general reference in the maintenance of audiovisual records? (i) For electronic recordings, the files). Retain intellectual control Agencies must: origination recording regardless of form through finding aids, annotations, or (a) Handle audiovisual records in and two compact discs (CDs) or digital other descriptive mechanisms; accordance with commonly accepted video disks (DVDs). (d) Store series of permanent and industry practices. (ii) For analog disc recordings, the unscheduled x-ray films, i.e, x-rays that (b) Protect audiovisual records, master tape and two disc pressings of are not interspersed among paper including those recorded on digital each recording, typically a vinyl copy records (case files), in accordance with media or magnetic sound or video for playback at 331⁄3 revolutions per § 1238.20 of this subchapter. Store series media, from accidental or deliberate minute (rpm). of temporary x-ray films under alteration or erasure. (2) For analog audio recordings on conditions that will ensure their (c) If different versions of audiovisual magnetic tape (open reel, cassette, or preservation for their full retention productions (e.g., short and long cartridge), the original tape, or the period, in accordance with ANSI/PIMA versions or foreign-language versions) earliest available generation of the IT9.11–1993 (incorporated by reference, are prepared, keep an unaltered copy of recording, and a subsequent generation see § 1237.3); each version for record purposes. copy for reference. (e) Store posters and similar graphic (d) Link audiovisual records with (f) Finding aids and production works in oversize formats, in map cases, their finding aids, including captions documentation. hanging files, or other enclosures that and published and unpublished (1) Existing finding aids such as data are sufficiently large or flexible to catalogs, inventories, indexes, and sheets, shot lists, continuities, review accommodate the records without production files and similar sheets, catalogs, indexes, list of rolling, folding, bending, or other ways documentation created in the course of captions, and other documentation that that compromise image integrity and audiovisual production. Establish and identifies the records. stability; and communicate agency-wide, clear

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captioning standards, procedures, and § 1237.24 What are special considerations photograph or better, and must be saved responsibilities. for storage and maintenance of aerial in Tagged Image File Format (TIFF) or photographic records? (e) Maintain current and accessible JPEG File Interchange Format (JFIF, documentation identifying creators of (a) Mark each aerial film container JPEG). For more detailed requirements audiovisual products, their precise with a unique identification code to on image format and resolution, see relationship to the agency, and the facilitate identification and filing. § 1235.48(e) of this subchapter. For nature and status of copyright or other (b) Mark aerial film indexes with the temporary digital photographs, agencies rights affecting the present and future unique aerial film identification codes select formats that they deem most use of items acquired from sources or container codes for the aerial film suitable for fulfillment of business outside the agency. (See § 1222.32 of that they index. Also, file and mark the needs. this subchapter for requirements to aerial indexes in such a way that they can easily be retrieved by area covered. § 1237.28 What special concerns apply to ensure agency ownership of appropriate digital photographs? contractor produced records.) § 1237.26 What materials and processes Digital photographs, either originating (f) Create unique identifiers for all must agencies use to create audiovisual in digital form (‘‘born-digital’’) or audiovisual records (e.g., for digital records? scanned from photographic prints, files, use file naming conventions), that Agencies must: slides, and negatives, are subject to the clarify connections between related (a) For picture negatives and motion provisions of this part and the elements (e.g., photographic prints and picture preprints (negatives, masters, requirements of 36 CFR part 1236, and negatives, or original edited masters and and all other copies) of permanent, long- NARA guidance for transfer of digital dubbing for video and audio term temporary, or unscheduled photographs located on the following recordings), and that associate records records, use polyester base media and NARA Web page—http:// with the relevant creating, sponsoring, process in accordance with industry www.archives.gov/records-mgmt/ or requesting offices. standards as specified in ISO 18906 initiatives/digital-photo-records.html. In (g) Maintain temporary and (incorporated by reference, see managing digital photographs, agency permanent audiovisual records § 1237.3). and contractor personnel must: separately. (1) Ensure that residual sodium (a) Schedule digital photographs and (h) Require that personnel wear white thiosulfate (hypo) on newly processed related databases as soon as possible for lint-free cotton (or other approved) black-and-white photographic film does the minimum time needed for agency gloves when handling film. not exceed 0.014 grams per square business and transfer the records meter. promptly according to the disposition § 1237.22 What are special considerations (2) Require laboratories to process instructions on their records schedule. in the storage and maintenance of film in accordance with this standard. (b) Select image management software cartographic and related records? Process color film in accordance with and hardware tools that will meet long- Agencies must: the manufacturer’s recommendations. term archival requirements, including (a) Maintain permanent and (3) If using reversal type processing, transfer to the National Archives of the unscheduled cartographic, architectural, require full photographic reversal; i.e., United States, as well as business needs. and engineering records in an develop, bleach, expose, develop, fix, Additional information and assistance is environment that does not exceed 70 and wash. available from the National Archives degrees Fahrenheit and with relative (b) Avoid using motion pictures in a and Records Administration, Modern humidity under 50%. final ‘‘A & B’’ format (two precisely Records Program (NWM), 8601 Adelphi (b) Create an identification scheme for matched reels designed to be printed Road, College Park, MD 20740, phone each series and assign unique together) for the reproduction of number (301) 837–1738. identification designations to each item excerpts or stock footage. (c) When developing digital image within a series. (c) Use only industrial or professional storage strategies, build redundancy into video and audio recording equipment, (c) Maintain lists or indexes for each storage systems, backing up image files new and previously unrecorded series with cross-references to related through on-line approaches, off-line, or magnetic tape stock and blank optical textual records. combinations of the two. (See also media (e.g., DVD and CD), for original electronic storage requirements in (d) Avoid interfiling separate series of copies of permanent, long-term § 1236.28 of this subchapter). maps, charts, or drawings, and file temporary, or unscheduled recordings. (d) For scanned digital images of permanent cartographic and Limit the use of consumer formats to photographic prints, slides, and architectural records separately from distribution or reference copies or to negatives that are scheduled as temporary series unless hand-corrected subjects scheduled for destruction. permanent or unscheduled, document versions have been systematically filed Avoid using videocassettes in the VHS the quality control inspection process with other published maps in a central format for use as originals of permanent employed during scanning. or master file. or unscheduled records. (1) Visually inspect a sample of the (e) Avoid rolling and folding maps (d) Record permanent, long-term, images for defects, evaluate the accuracy and drawings. Store permanent maps temporary, or unscheduled audio of finding aids, and verify file header and drawings flat in shallow drawer recordings on optical media from major information and file name integrity. map cases in acid-free folders. manufacturers. Avoid using cassettes as (2) Conduct the sample using a (f) Do not laminate original oversize originals for permanent records or volume sufficiently large to yield records. Consult the National Archives unscheduled records (although they statistically valid results, in accordance and Records Administration, may be used as reference copies). with one of the quality sampling Preservation Programs, (NWT), 8601 (e) For born-digital or scanned digital methods presented in ANSI/AIIM TR34 Adelphi Road, College Park, MD 20740, images that are scheduled as permanent (incorporated by reference, see phone number (301) 837–1785 for or unscheduled, a record (or master) § 1237.3). (See also ISO 2859–1 preservation, storage, and treatment version of each image must be (incorporated by reference, see options. comparable in quality to a 35 mm film § 1237.3).)

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(e) For born-digital images scheduled film and large series of still pictures) Subpart C—Storage, Use, and Disposition as permanent, long-term temporary, or from records storage areas. Standards for Microform Records unscheduled, perform periodic (2) Notify the National Archives and 1238.20 How must microform records be inspections, using sampling methods or Records Administration, Modern stored? more comprehensive verification 1238.22 What are the inspection Records Program (NWM), 8601 Adelphi requirements for permanent and systems (e.g., checksum programs), to Road, College Park, MD 20740, phone evaluate image file stability, unscheduled microform records? number (301) 837–1738, about the 1238.24 What are NARA inspection documentation quality, and finding aid existence of nitrocellulose film requirements for temporary microform reliability. Agencies must also establish materials for a determination of whether records? procedures for refreshing digital data they may be destroyed or retained after 1238.26 What are the restrictions on use for (recopying) and file migration, a copy is made by the agency for permanent and unscheduled microform especially for images and databases transfer to NARA. If NARA appraises records? retained for five years or more. nitrate film materials as disposable and 1238.28 What must agencies do when sending permanent microform records to (f) Designate a record set of images the agency wishes to retain them, the that is maintained separately from other a records storage facility? agency must follow the standard NFPA 1238.30 What must agencies do when versions. Record sets of permanent or 40–2007 (incorporated by reference, see unscheduled images that have already transferring permanent microform § 1237.3). records to the National Archives of the been compressed once (e.g., compressed United States? TIFF or first-generation JPEG) must not (3) Follow the packing and shipping of nitrate film as specified in 1238.32 Do agencies need to request NARA be subjected to further changes in image approval for the disposition of all size. Department of Transportation microform and source records? regulations (49 CFR 172.101, Hazardous (g) Organize record images in logical Authority: 44 U.S.C. chapters 29 and 33. series. Group permanent digital images materials table; 172.504, Transportation; separately from temporary digital 173.24, Standard requirements for all Subpart A—General images. packages; and 173.177, Motion picture (h) Document information about film and X-ray film—nitrocellulose § 1238.1 What is the scope of this part? digital photographic images as they are base). This part covers the standards and produced. For permanent or (b) Agencies must inspect cellulose- procedures for using micrographic unscheduled images descriptive acetate film periodically for an acetic technology in the management of elements must include: odor, wrinkling, or the presence of Federal records. (1) An identification number; crystalline deposits on the edge or (2) Information about image content; surface of the film that indicate § 1238.2 What are the authorities for part 1238? (3) Identity and organizational deterioration. Agencies must notify the affiliation of the photographer; National Archives and Records The statutory authorities for this part (4) Existence of any copyright or other Administration, Modern Records are 44 U.S.C. chapters 29 and 33. potential restrictions on image use; and Program (NWM), 8601 Adelphi Road, (5) Technical data including file § 1238.3 What definitions apply to this College Park, MD 20740, phone number part? format and version, bit depth, image (301) 837–1738, immediately after size, camera make and model, inspection about deteriorating See § 1220.18 of this subchapter for compression method and level, custom permanent or unscheduled audiovisual definitions of terms used in part 1238. or generic color profiles (ICC/ICM records composed of cellulose acetate so § 1238.4 What standards are used as profile), and, where applicable, that they can be copied by the agency guidance for this part? Exchangeable Image File Format (EXIF) prior to transfer of the original and These regulations conform with information embedded in the header of duplicate film to NARA. image files by certain digital cameras. guidance provided in ISO15489–1:2001, (i) Provide a unique file name to PART 1238—MICROFORMS RECORDS part 7.1 (Principles of records identify the digital image. MANAGEMENT management programmes), and 9.6 (j) Develop finding aids sufficiently (storage and handling). Subpart A—General detailed to ensure efficient and accurate § 1238.5 What publications are retrieval. Ensure that indexes, caption 1238.1 What is the scope of this part? incorporated by reference in this part? lists, and assignment logs can be used 1238.2 What are the authorities for part (a) Certain material is incorporated by to identify and chronologically cut-off 1238? reference into this part with the block of images for transfer to the 1238.3 What definitions apply to this part? approval of the Director of the Federal NARA. 1238.4 What standards are used as guidance Register under 5 U.S.C. 552(a) and 1 for this part? § 1237.30 How do agencies manage CFR part 51. To enforce any edition 1238.5 What publications are incorporated records on nitrocellulose-base and other than that specified in this section, by reference? cellulose-acetate base film? NARA must publish notice of change in (a) The nitrocellulose base, a Subpart B—Microfilming Standards the Federal Register and the material substance akin to gun cotton, is 1238.10 What are the format standards for must be available to the public. All chemically unstable and highly microfilming records? approved material is available for flammable. Agencies must handle 1238.12 What documentation is required inspection at the Office of the Federal nitrocellulose-base film (used in the for microfilmed records? Register. For information on the manufacture of sheet film, 35 mm 1238.14 What are the microfilming availability of this material at the Office motion pictures, aerial and still requirements for permanent and of the Federal Register, call (202) 741– photography into the 1950s) as specified unscheduled records? 6030 or go to http://www.archives.gov/ below: 1238.16 What are the microfilming federal_register/ (1) Remove nitrocellulose film requirements for temporary records, code_of_federal_regulations/ materials (e.g., 35mm motion picture duplicates, and user copies? ibr_locations.html.

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(b) The material incorporated by Microforms for Evidence of MS14 (incorporated by reference, see reference is also available for inspection Deterioration, January 22, 1990, IBR § 1238.5) must be used for microfilming at NARA’s Archives Library Information approved for § 1238.22. source documents on 16mm and 35mm Center (NWCCA), Room 2380, 8601 (9) ISO 18911:2000 (‘‘ISO 18911’’), roll film. A reduction ratio no greater Adelphi Road, College Park, MD 20740– Imaging materials—Processed safety than 1:24 is recommended for 6001, phone number (301) 837–3415, photographic films—Storage practices, correspondence or similar typewritten and is available for purchase from the First Edition, November 1, 2000, IBR documents. Use ANSI/AIIM MS23 sources listed below. If you experience approved for § 1238.20. (incorporated by reference, see § 1238.5) difficulty obtaining the standards (d) Techstreet. The following for the appropriate reduction ratio and referenced below, contact NARA’s standards are available from the format for meeting image quality Policy and Planning Staff (NPOL), standards reseller Techstreet, 3916 requirements. When microfilming on National Archives and Records Ranchero Drive, Ann Arbor, MI 48108, 35mm film for aperture card Administration, 8601 Adelphi Road, phone number (800) 699–9277, or applications, the format dimensions in College Park, MD 20740–6001, phone online at www.Techstreet.com. number (301) 837–1850. (1) ISO 18901:2002 (‘‘ISO 18901’’), ANSI/AIIM MS32 (incorporated by (c) American National Standards Imaging Materials—Processed silver- reference, see § 1238.5), Table 1 must be Institute (ANSI) and International gelatin type black-and-white films— used, and the aperture card format ‘‘D Organization for Standards (ISO) Specifications for stability, February 15, Aperture’’ shown in ANSI/AIIM MS41 standards. The following ANSI and ISO 2002, IBR approved for §§ 1238.10, (incorporated by reference, see standards are available from the 1238.14, and 1238.20. § 1238.5), Figure 1, must be used. The American National Standards Institute, (2) Reserved components of the aperture card, 25 West 43rd St., 4th Floor, New York, (e) Document Center Inc. The including the paper and adhesive, must NY 10036, phone number (212) 642– following are available from the conform to the requirements of ANSI/ 4900,or online at http:// standards reseller the Document Center PIMA IT9.2 (incorporated by reference, webstore.ansi.org. Inc., 111 Industrial Road, Suite 9, see § 1238.5). The 35mm film used in (1) ANSI/AIIM MS1–1996 (‘‘ANSI/ Belmont, CA, 94002, phone number the aperture card application must AIIM MS1’’), Standard Recommended (650) 591–7600, or online at http:// conform to film designated as LE 500 in Practice for Alphanumeric Computer- www.document-center.com. ISO 18901 (incorporated by reference, Output Microforms—Operational (1) ANSI/NAPM IT2.19–1994 (‘‘ANSI/ see § 1238.5). Practices for Inspection and Quality NAPM IT2.19), American National (2) COM. Microfilm created using Control, August 8, 1996, IBR approved Standard for Photography—Density computer output microfilm (COM) for § 1238.14. Measurements—Part 2: Geometric technology must use the simplex mode (2) ANSI/AIIM MS5–R1998) (‘‘ANSI/ Conditions for Transmission Density, described in ANSI/AIIM MS14 AIIM MS5’’), Standard for Information February 20, 1995, IBR approved for and Image Management—Microfiche, § 1238.14. (incorporated by reference, see § 1238.5) December, 1998, IBR approved for (2) ANSI/PIMA IT9.2–1998 (‘‘ANSI/ at an effective ratio of 1:24 or 1:48 § 1238.10. PIMA IT9.2’’), Photographic Processed depending upon the application. (3) ANSI/AIIM MS14–1996 (‘‘ANSI/ Films, Plates, and Papers-Filing (b) Microfiche. When creating AIIM MS14’’), Standard Recommended Enclosures and Storage Containers, microfiche, either by microfilming Practice—Specifications for 16mm and April 15, 1998, IBR approved for source documents or using COM 35mm Roll Microfilm, August 8, 1996, §§ 1238.10 and 1238.20. technology, the formats and reduction IBR approved for § 1238.10. (3) ANSI/AIIM MS 23–1998 (‘‘ANSI/ ratios prescribed in ANSI/AIIM MS5 (4) ANSI/AIIM MS19–1993 (‘‘ANSI/ AIIM MS23’’), Standard Recommended (incorporated by reference, see § 1238.5) AIIM MS19’’), Standard Recommended Practice—Production, Inspection, and must be used as specified for the size Practice—Identification of Microforms, Quality Assurance of First-Generation, and quality of the documents being August 18, 1993, IBR approved for Silver Microforms of Documents, June 2, filmed. Use ANSI/AIIM MS23 § 1238.12. 1998, IBR approved for §§ 1238.10 and (5) ANSI/AIIM MS32–1996 (‘‘ANSI/ (incorporated by reference, see § 1238.5) 1238.14. for determining the appropriate AIIM MS32’’), Standard Recommended (4) ANSI/ISO 3334–1991, ANSI/AIIM Practice—Microrecording of reduction ratio and format for meeting MS51–1991 (‘‘ANSI/ISO 3334, ANSI/ the image quality requirements. Engineering Source Documents on AIIM MS51’’), Micrographics—ISO 35mm Microfilm, February 16, 1996, Resolution Test Chart No. 2— (c) Index placement—(1) Source IBR approved for § 1238.10. Description and Use, May 10, 1991, IBR documents. When microfilming source (6) ANSI/AIIM MS41–1996 (‘‘ANSI/ approved for § 1238.14. documents, place indexes, registers, or AIIM MS41’’), Dimensions of Unitized (5) ANSI/NAPM IT2.18–1996 (‘‘ANSI/ other finding aids, if microfilmed, either Microfilm Carriers and Apertures NAPM IT2.18’’), American National in the first frames of the first roll of film (Aperture, Camera, Copy and Image Standard for Photography—Density or in the last frames of the last roll of Cards), July 16, 1996, IBR approved for Measurements—Part 3: Spectral film of a series. For microfiche, place § 1238.10. Conditions, March 8, 1996, IBR the indexes in the last frames of the last (7) ANSI/AIIM MS43–1998 (‘‘ANSI/ approved for § 1238.14. microfiche or microfilm jacket of a AIIM MS43’’), Standard Recommended series. Practice—Operational Procedures— Subpart B—Microfilming Standards Inspection and Quality Control of (2) COM. Place indexes on COM Duplicate Microforms of Documents and § 1238.10 What are the format standards following the data on a roll of film, in From COM), June 2, 1998, IBR approved for microfilming records? the last frames of a single microfiche, or for § 1238.14, The following formats must be used in the last frames of the last fiche in a (8) ANSI/AIIM MS45–1990 (‘‘ANSI/ when microfilming records: series. Other locations for indexes may AIIM MS 45’’), Recommended Practice (a) Roll film—(1) Source documents. be used only if dictated by special for Inspection of Stored Silver-Gelatin The formats described in ANSI/AIIM system constraints.

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§ 1238.12 What documentation is required § 1238.14 What are the microfilming MS23 and ANSI/AIIM MS43 (both for microfilmed records? requirements for permanent and incorporated by reference, see § 1238.5). unscheduled records? Agencies must ensure that the Agencies must perform resolution tests microforms capture all information (a) Agencies must apply the standards using an ANSI/ISO 3334 Resolution in this section when microfilming: contained on the source documents and Test Chart (incorporated by reference, (1) Permanent paper records where that they can be used for the purposes see § 1238.5) or a commercially the original paper record will be available certifiable target manufactured the source documents served. destroyed (only after authorization from Microform records must be labeled and to comply with this standard, and read NARA); the patterns following the instructions organized to support easy retrieval and (2) Unscheduled paper records where use. Agencies must: of ANSI/ISO 3334. Agencies must use the original paper record will be the smallest character used to display (a) Arrange, describe, and index the destroyed (only after authorization from information to determine the height filmed records to permit retrieval of any NARA); and used in the Quality Index formula. particular document or component of (3) Permanent and unscheduled Agencies must use a Quality Index of the records. original microform records (no paper five at the third generation level. (b) Title each microform roll or fiche originals) produced by automation, such with a titling target or header. For fiche, as COM. (ii) COM. COM must meet the place the titling information in the first (b) Agencies must use polyester-based requirements of ANSI/AIIM MS1 frame if the information will not fit on silver gelatin type film that conforms to (incorporated by reference, see the header. At a minimum, titling ISO 18901 (incorporated by reference, § 1238.5). information must include: see § 1238.5) for LE 500 film in all (2) Background density of images. applications. (1) The title of the records; Agencies must use the background ISO (c) Agencies must process microforms standard visual diffuse transmission (2) The number or identifier for each so that the residual thiosulfate ion density on microforms appropriate to unit of microform; concentration will not exceed 0.014 the type of documents being filmed. (3) The security classification, if any; grams per square meter in accordance Agencies must use the procedure for and with ISO 18901 (incorporated by density measurement described in reference, see § 1238.5) and use the (4) The name of the agency and sub- ANSI/AIIM MS23 (incorporated by processing procedures in ANSI/AIIM organization, the inclusive dates, names, reference, see § 1238.5). The MS1 and ANSI/AIIM MS23 (both or other data identifying the records to densitometer must meet with ANSI/ incorporated by reference, see § 1238.5). NAPM IT2.18 (incorporated by be included on a unit of microform. (d) Agencies must use the following reference, see § 1238.5) for spectral (c) Add an identification target standards for quality: showing the date of microfilming. When (1) Resolution—(i) Source documents. conditions and ANSI/NAPM IT2.19 necessary to give the microform copy Agencies must determine minimum (incorporated by reference, see § 1238.5) legal standing, the target must also resolution on microforms of source for geometric conditions for identify the person who authorized the documents using the method in the transmission density. microfilming. Use ANSI/AIIM MS19 Quality Index Method for determining (i) Recommended visual diffuse (incorporated by reference, see § 1238.5) resolution and anticipated losses when transmission background densities for for standards for identification targets. duplicating, as described in ANSI/AIIM 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 printing ...... 1.15–1.4 Group 3 ...... Pencil and ink drawings, faded printing, and very small printing, such as footnotes at the bottom of a 1.0–1.2 printed page. Group 4 ...... Low-contrast manuscripts and drawing, graph paper with pale, fine-colored lines; letters typed with a 0.8–1.0 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 is used, the density will be increased. (4) Line or stroke width. Due to optical microfilms. The base plus fog density of The difference must be added to the limitations in most micrographic unexposed, processed microfilms must values given in the tables in paragraph systems, microfilm images of thin lines not exceed 0.10. When a tinted base film (d)(2) of this section. appearing in the source documents will

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tend to fill in as a function of their inspected initially in accordance with accordance with § 1238.14 to replace the width and density. Therefore, as the ANSI/AIIM MS45 (incorporated by deteriorating master. The duplicate reduction ratio of a given system is reference, see § 1238.5). All microforms microform must meet inspection increased, reduce the background must be inspected when they are two requirements (see § 1238.22) before it density as needed to ensure that the years old. After the initial two-year may be transferred to a record center or copies will be legible. inspection, unless there is a catastrophic NARA. event, the microforms must be inspected (g) Inspections must be conducted in § 1238.16 What are the microfilming as follows until they are transferred to environmentally controlled areas in requirements for temporary records, duplicates, and user copies? NARA: accordance with ANSI/AIIM MS45 (1) For microfilm produced after 1990, (incorporated by reference, see (a) Temporary records with a inspect the microfilm every 5 years. § 1238.5). retention period over 99 years. Agencies (2) For microfilm produced prior to must use the microfilming requirements 1990, inspect the microfilm every 2 § 1238.24 What are NARA inspection in § 1238.14. requirements for temporary microform years. records? (b) Temporary records to be kept for (c) To facilitate inspection, the agency less than 99 years, duplicates, and user must maintain an inventory that lists NARA recommends, but does not copies. NARA does not require the use each microform series or publication by require, that agencies use the inspection of specific standards for these production date, producer, processor, procedures described in § 1238.22(a). microforms. Agencies may select a film format, and results of previous § 1238.26 What are the restrictions on use stock that meets their needs and ensures inspections. the preservation of the microforms for for permanent and unscheduled microform (d) The inspection must include the records? their full retention period. NARA following elements: (a) Agencies must not use the silver recommends that agencies consult (1) An inspection for aging blemishes appropriate standards, available as gelatin master microform or duplicate following ANSI/AIIM MS45 silver gelatin microform of permanent or noted in § 1238.3, and manufacturer’s (incorporated by reference, see instructions for processing production, unscheduled records created in § 1238.5); accordance with § 1238.14 of this part and maintenance of microform to ensure (2) A rereading of resolution targets; that the images are accessible and for reference purposes. Agencies must (3) A remeasurement of density; and ensure that the master microform usable for the entire retention period of (4) A certification of the the records. remains clean and undamaged during environmental conditions under which the process of making a duplicating the microforms are stored, as specified Subpart C—Storage, Use, and master. in § 1238.20(a). Disposition of Microform Records (b) Agencies must use duplicates for: (e) The agency must prepare an (1) Reference; § 1238.20 How must microform records be inspection report, and send a copy to (2) Further duplication on a recurring stored? NARA in accordance with § 1238.28(c). basis; (a) Permanent and unscheduled The inspection report must contain: (3) Large-scale duplication; and records. Agencies must store permanent (1) A summary of the inspection (4) Distribution of records on and unscheduled microform records findings, including: microform. under the extended term storage (i) A list of batches by year that (c) Agencies retaining the original conditions specified in ISO 18911 and includes the identification numbers of record in accordance with an approved ANSI/PIMA IT9.2 (both incorporated by microfilm rolls and microfiche in each records disposition schedule may apply reference, see § 1238.5), except that the batch; agency standards for the use of relative humidity of the storage area (ii) The quantity of microforms microform records. must be a constant 35 percent RH, plus inspected; or minus 5 percent. Non-silver copies of (iii) An assessment of the overall § 1238.28 What must agencies do when condition of the microforms; sending permanent microform records to a microforms must be maintained in a records storage facility? different storage area than are silver (iv) A summary of any defects gelatin originals or duplicate copies). discovered, e.g., redox blemishes or base Agencies must: (b) Temporary records. Agencies must deformation; and (a) Follow the procedures in part 1232 store temporary microform records (v) A summary of corrective actions of this chapter and the additional under conditions that will ensure their taken. requirements in this section. preservation for their authorized (2) A detailed inspection log created (b) Package non-silver copies retention period. NARA suggests that during the inspection that contains the separately from the silver gelatin agencies may consult Life Expectance following information: original or silver duplicate microform (LE) guidelines in ISO 18901 (i) A complete description of all copy and clearly label them as non- (incorporated by reference, see records inspected (title; roll or fiche silver copies. (c) Include the following information § 1238.5). number or other unique identifier for each unit of film inspected; security on the transmittal (SF 135 for NARA § 1238.22 What are the inspection classification, if any; and inclusive Federal Records Centers), or in an requirements for permanent and dates, names, or other data identifying attachment to the transmittal. For unscheduled microform records? the records on the unit of film); records sent to an agency records center (a) Agencies must inspect, or arrange (ii) The date of inspection; or commercial records storage facility, for a contractor or NARA to inspect (iii) The elements of inspection (see submit this information to NARA as part master microform of permanent or paragraph (d) of this section); of the documentation required by unscheduled records following the (iv) Any defects uncovered; and § 1232.14 of this subchapter: inspection requirements in paragraph (v) The corrective action taken. (1) Name of the agency and program (b) of this section. (f) If an inspection finds that a master component; (b) The microforms listed in microform is deteriorating, the agency (2) The title of the records and the paragraph (a) of this section must be must make a silver duplicate in media and format used;

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(3) The number or identifier for each standards set forth in 36 CFR part 29; and the requirements for agencies to unit of microform; 1238.’’ cooperate fully in such inspections. (4) The security classification, if any; (2) Agencies using microfilming (5) The inclusive dates, names, or methods, materials, and procedures that § 1239.2 What are the authorities for part other data identifying the records to be do not meet the standards in 1239? included on a unit of microform; § 1238.14(a) must include on the SF 115 The authorities for this part are 44 (6) Finding aids that are not contained a description of the system and U.S.C. 2904 and 2906. in the microform; and standards used. (7) The inspection log forms and § 1239.3 What definitions apply to this (3) When an agency intends to retain part? inspection reports required by the silver original microforms of § 1238.22(e). permanent records and destroy the (a) See § 1220.18 of this subchapter (d) Agencies may transfer permanent original records, the agency must certify for definitions of terms used in part microform records to a records storage in writing on the SF 115 that the 1239. facility meeting the storage microform will be stored in compliance (b) As used in part 1239— requirements in § 1232.14(a) (see with the standards of § 1238.20 and Inspection means a formal review and § 1233.10 of this subchapter for NARA inspected as required by § 1238.22. report by NARA under 44 U.S.C. 2904(c) Federal Records Centers) of this (b) Temporary records. Agencies do and 2906(a) of an agency’s subchapter only after the first inspection not need to obtain additional NARA recordkeeping processes that focus on or with certification that the microforms approval when destroying scheduled significant records management will be inspected by the agency, a temporary records that have been problems affecting records at risk that contractor, or a NARA Federal Records microfilmed. The same approved meet one or more of the following Center (on a reimbursable basis) when retention period for temporary records criteria: the microforms become 2 years old. is applied to microform copies of these (1) Have a direct and high impact on records. The original records can be legal rights or government § 1238.30 What must agencies do when destroyed once microfilm is verified, accountability; transferring permanent microform records (2) Are the subject of high profile to the National Archives of the United unless legal or other requirements prevent their early destruction. litigation, Congressional attention, or States? widespread media coverage; Agencies must: PART 1239—PROGRAM ASSISTANCE (3) Have high research potential; or (a) Follow the procedures in part 1235 AND INSPECTIONS (4) Are permanent records with a of this subchapter and the additional large volume, regardless of format. requirements in this section. Subpart A—General (b) If the records are not in a NARA Sec. § 1239.4 What standards are used as Federal Records Center, submit the 1239.1 What is the scope of this part? guidance for this part? information specified in § 1232.14(c) of 1239.2 What are the authorities for part These regulations conform with this subchapter. 1239? guidance provided in ISO 15489– (c) Transfer the silver gelatin original 1239.3 What definitions apply to this part? 1:2001. Paragraphs 7.1, Principles of (or duplicate silver gelatin microform 1239.4 What standards are used as guidance records management programmes, and for this part? created in accordance with § 1238.14) 10, Monitoring and auditing, apply to plus one microform copy. Subpart B—Program Assistance this part. (d) Ensure that the inspections of the 1239.10 What program assistance does microforms are up-to-date. NARA will NARA provide? Subpart B—Program Assistance not accession permanent microform 1239.12 Whom may agencies contact to records until the first inspection has request assistance? § 1239.10 What program assistance does NARA provide? been performed (when the microforms Subpart C—Inspections are 2 years old). (a) NARA publishes handbooks, (e) Package non-silver copies 1239.20 When will NARA undertake an conducts workshops and other training inspection? sessions, and furnishes information and separately from the silver gelatin 1239.22 How does NARA notify the agency original or silver duplicate microform of the inspection? guidance to Federal agencies about the copy and clearly label them as non- 1239.24 How does NARA conduct an creation of records, their maintenance silver copies. inspection? and use, and their disposition. NARA 1239.26 What are an agency’s follow up also may conduct a targeted assistance § 1238.32 Do agencies need to request obligations for an inspection report? project in cooperation with an agency to NARA approval for the disposition of all Authority: 44 U.S.C. 2904 and 2906. address a serious records management microform and source records? issue in the agency. (a) Permanent or unscheduled Subpart A—General (b) Information on NARA handbooks records. Agencies must schedule both and guidance is available at http:// source documents (originals) and § 1239.1 What is the scope of this part? www.archives.gov/records-mgmt/. microforms. NARA must approve the NARA’s statutory authorities include (c) Information on NARA training is schedule, SF 115, Request for Records assisting agencies in carrying out their available at http://www.archives.gov/ Disposition Authority, in accordance records management responsibilities records-mgmt/training/. with part 1225 of this subchapter before and, when necessary, inspecting agency any records, including source programs and reporting to Congress on § 1239.12 Whom may agencies contact to documents, may be destroyed. those inspections. Part 1239 identifies request program assistance? (1) Agencies that comply with the the types of records management Agencies in the Washington, DC, area standards in § 1238.14 must include on guidance and program assistance NARA desiring information or assistance the SF 115 the following certification: provides to agencies under its 44 U.S.C. related to any of the areas covered by ‘‘This certifies that the records chapter 29 mandate; the conditions subchapter B may contact the National described on this form were (or will be) under which NARA will invoke its Archives and Records Administration, microfilmed in accordance with the inspection authority, also under chapter Life Cycle Management Division

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(NWML), 8601 Adelphi Rd., College Archivist of the United States sends a (2) Background and purpose of Park, MD 20740–6001, phone number letter to the head of the agency. If the inspection; 301–837–1738. Agency field agency being inspected is a component (3) Inspection methodology, including organizations may contact the of a cabinet department, the letter will offices visited; appropriate NARA Regional be addressed to the head of the Administrator regarding records component, with a copy sent to the head (4) Findings; management assistance, including for of the department. NARA will also send (5) Corrective actions needed and records in or scheduled for transfer to copies to the agency’s records officer. other recommendations; and the records center or the archival The letter will include: (6) Any necessary appendixes, such as operations within the region. (1) Notification that NARA intends to summaries of each site visit or the conduct an inspection, the records that inspection instrument. Subpart C—Inspections will be inspected, and the issues to be addressed; (c) The draft report is sent to the § 1239.20 When will NARA undertake an agency for review, with a response inspection? (2) A beginning date for the deadline of 45 days. NARA may undertake an inspection inspection that is no more than 30 days when an agency fails to address specific after the date of the letter; and (d) NARA will incorporate any records management problems (3) A request that the agency appoint necessary corrections or revisions in the involving high risk to significant a point of contact who will assist NARA final report and issue the report to the records. Problems may be identified in conducting the inspection. head of the agency within 45 days. through a risk assessment or through (b) If the agency does not respond to NARA’s notification letter, NARA will § 1239.26 What are an agency’s follow up other means, such as reports in the obligations for an inspection report? media, Congressional inquiries, use its statutory authority under 44 allegations of unauthorized destruction, U.S.C. 2904(c)(8) to report the matter to The agency must submit a plan of reports issued by the GAO or an the agency’s congressional oversight corrective action that specifies how the agency’s Inspector General, or committee and to the Office of agency will address each inspection observations by NARA staff members. Management and Budget. report recommendation, including a Inspections will be undertaken when § 1239.24 How does NARA conduct an timeline for completion, and proposed other NARA program assistance efforts inspection? progress reporting dates. The agency (see § 1239.10) have failed to mitigate must submit the plan of corrective (a) The NARA inspection team leader situations where there is a high risk of action to NARA within 60 days of will coordinate with the agency point of loss of significant records, or when contact to arrange an initial meeting transmission of the final report. NARA NARA agrees to a request from the with the agency. The initial meeting may take up to 60 days to review and agency head that NARA conduct an will address such matters as the comment on the plan. Once the plan is inspection to address specific agreed upon by both sides, agencies significant records management issues parameters of the inspection, any surveys or other inspection instruments, must submit progress reports to NARA in the agency. NARA reports to until all actions are completed. Congress and the Office of Management the offices to be visited, and the timing and Budget on inspections in of site visits. PARTS 1240–1249—[RESERVED] accordance with 44 U.S.C. 2904. (b) After the inspection is complete, NARA will prepare a draft inspection Adrienne C. Thomas, § 1239.22 How does NARA notify the report and transmit it to the agency agency of the inspection? within 45 calendar days of the last site Acting Archivist of the United States. (a) Once NARA identifies the need to visit. The report will include: [FR Doc. E9–23613 Filed 10–1–09; 8:45 am] conduct an agency inspection, the (1) An executive summary; BILLING CODE 7515–01–P

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