Friday, October 2, 2009 Part II National Archives and Records Administration 36 CFR Chapter XII, Subchapter B Federal Records Management; Revision; Final Rule VerDate Nov<24>2008 16:43 Oct 01, 2009 Jkt 220001 PO 00000 Frm 00001 Fmt 4717 Sfmt 4717 E:\FR\FM\02OCR2.SGM 02OCR2 pwalker on DSK8KYBLC1PROD with RULES2 51004 Federal Register / Vol. 74, No. 190 / Friday, October 2, 2009 / Rules and Regulations 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 VerDate Nov<24>2008 16:43 Oct 01, 2009 Jkt 220001 PO 00000 Frm 00002 Fmt 4701 Sfmt 4700 E:\FR\FM\02OCR2.SGM 02OCR2 pwalker on DSK8KYBLC1PROD with RULES2 Federal Register / Vol. 74, No. 190 / Friday, October 2, 2009 / Rules and Regulations 51005 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.