AGENCY:
National Archives and Records Administration (NARA).
ACTION:
Advance notice of proposed rulemaking; request for comments.
SUMMARY:
NARA is seeking comments from Federal agencies and the public on our regulations for Federal records management. We are considering revising and reorganizing the existing regulations to make the regulations easier to read, understand, and use. A proposed table of contents for the revision, which includes parenthetical references to the current configuration of the regulations, is also provided for review and comment.
Dates: Submit comments on or before May 14, 2004.
ADDRESSES:
NARA invites interested persons to submit comments on this ANPRM. Please include “Attn: 3095-AB16” and your name and mailing address in your comments. Comments may be submitted by any of the following methods:
- E-Mail: Send comments to comments@nara.gov. If you do not receive a confirmation that we have received your e-mail message, contact Cheryl Stadel-Bevans at 301-837-3021.
- Fax: Submit comments by facsimile transmission to 301-837-0319.
- Mail: Send comments to Regulations Comments Desk (NPOL), Room 4100, Policy and Communications Staff, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001.
- Hand Delivery or Courier: Deliver comments to 8601 Adelphi Road, College Park, MD.
- Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the online instructions for submitting comments.
For further information contact:
Cheryl Stadel-Bevans at telephone number 301-837-3021 or fax number 301-837-0319.
Supplementary Information:
Background
NARA is concerned that the current Federal records management regulations do not reflect many of the recent changes in records management and, therefore, need updating to meet the challenges of a changing recordkeeping environment. We are considering revising the existing regulations to incorporate current standards and practices, such as new guidance on electronic recordkeeping and relevant portions of ISO 15489-1:2001, Records management—Part 1: General (ISO Records Management Standard).
In addition, we propose to restructure the regulations to better reflect the lifecycle of records, from creation through active agency use to disposition. We are considering consolidating all definitions under 36 CFR 1220; reorganizing the Parts of 36 CFR Chapter XII, Subchapter B, to more clearly reflect the lifecycle of records; and elevating subparts in the current 36 CFR 1228 to parts, for better emphasis. The regulations would also be re-written in accordance with plain language principles (such as using the question-style for the section headings) to make them easier to read, understand, and use.
Our goal is to make it easier for Federal agencies and records management contractors to follow our regulations. As part of the revision, we also intend to address the issues raised in the advance notice of proposed rulemaking, Records Management; Electronic Text Documents (RIN 3095-AB05) that was published October 10, 2001 (66 FR 51740).
More information about NARA's Redesign of Federal Records Management may be found online at http://www.archives.gov/records_management/initiatives/rm_redesign_project.html.
Questions for Comment
What do you think about this proposal? Do you agree that the current Federal records management regulations need revision? Which regulations do you think need updating, revision, or expansion? Are there other records management issues that NARA should address? If you think the NARA regulations need to be revised, are there any priority areas that should be addressed first? Will the proposed reorganization of 36 CFR chapter XII, subchapter B, make the regulations easier to use? Will consolidating definitions in one section be useful? How do you see the proposed revision affecting the records management programs of Federal agencies? Please specify what further changes you would like to see.
Dated: March 2, 2004.
Lewis J. Bellardo,
Deputy Archivist of the United States.
The following table of contents is a proposed outline for reorganizing the regulations for Federal records management and includes parenthetical references to the current configuration of the regulations. We attempted to lay out the regulations in a more serviceable order from the current structure. Please review and comment on the outline.
- PART 1220—FEDERAL RECORDS, GENERAL
- 1220.1
- Scope of subchapter. [1220.1]
- 1220.2
- Responsibility for records management programs. [1220.2] Subpart A—General Provisions
- 1220.10
- Authority. [1220.10]
- 1220.12
- Applicability. [1220.12]
- 1220.14
- Definitions. (all definitions in current CFR—add definition for trustworthy (see old 1234.26), authenticity, reliability, integrity (see old 1234.26(b)), usability, risk, and definitions from other sources as appropriate) [1220.14, 1222.12, 1228.226, 1230.4, 1232.10, 1234.2, 1236.14] Subpart B—Agency Records Management Programs
- 1220.30
- Authority. [1220.30]
- 1220.32
- Program content. [1220.32]
- 1220.34
- Creation of records. [1220.34]
- 1220.36
- Maintenance and use of records. [1220.36]
- 1220.38
- Disposition of records. [1220.38]
- 1220.40
- Liaison offices. [1220.40] PART 1222—CREATION AND MAINTENANCE OF FEDERAL RECORDS Subpart A—General
- 1222.10
- Authority. [1222.10]
- 1222.12
- Understanding what a Federal record is. [1222.12] Subpart B—Program Requirements
- 1222.20
- Agency responsibilities. [1222.20] Subpart C—Agency Recordkeeping Requirements
- 1222.30
- Purpose. [1222.30]
- 1222.32
- General requirements. [1222.32]
- 1222.34
- Identifying Federal records. [1222.34]
- 1222.36
- Identifying personal papers. [1222.36]
- 1222.38
- Recordkeeping requirements.
- 1222.40
- Preventing the unauthorized removal of records. [1222.40]
- 1222.42
- Authorizing the removal of nonrecord material. [1222.42]
- 1222.44
- Records management directives. [1222.44]
- 1222.46
- Recordkeeping requirements of other agencies. [1222.46]
- 1222.48
- Contractor records. [1222.48]
- 1222.50
- Records maintenance and storage. [1222.50] PART 1223—MANAGEMENT OF VITAL RECORDS Subpart A—General
- 1223.10
- Purpose. [1236.10]
- 1223.12
- Authority. [1236.12] Subpart B—Vital Records
- 1223.20
- Program objectives. [1236.20]
- 1223.22
- Identification. [1236.22]
- 1223.24
- Use of vital records. [1236.24]
- 1223.26
- Protection of vital records. [1236.26]
- 1223.28
- Disposition of vital records. [1236.28] PART 1224—DISPOSITION OF FEDERAL RECORDS—GENERAL
(a) Cooperation with NARA. [1220.32(a)]
(b) Agency internal evaluation. [1220.42]
(c) Compliance. [1220.32(b)]
(a) Categories of documentary materials. [1222.38]
(b) Levels of recordkeeping requirements. [New]
(1) Agency.
(2) Program.
(3) Series/system.
- 1224.1
- Scope. [New—refer to 44 U.S.C. 3301 and 36 CFR 1222.12 (old) and 1222.34 (old)]
- 1224.10
- Authority. [1228.10]
- 1224.12
- Program elements. [1228.12] PART 1225—SCHEDULING RECORDS
- 1225.10
- Authority. [1228.20]
- 1225.12
- Developing records schedules. [1228.22]
- 1225.14
- Formulation of agency records schedules. [1228.24]
- 1225.16
- Request for records disposition authority. [1228.26]
- 1225.18
- Scheduling permanent records. [1228.28]
- 1225.20
- Scheduling of temporary records. [1228.30]
- 1225.22
- Request to change disposition authority. [1228.32] PART 1226—IMPLEMENTING SCHEDULES
- 1226.10
- Application of schedules. [1228.50]
- 1226.12
- Withdrawal of disposal authority. [1228.52]
- 1226.14
- Temporary extension of retention periods. [1228.54]
- 1226.16
- Transfer of permanent records. [1228.56]
- 1226.18
- Destruction of temporary records. [1228.58]
- 1226.20
- Donation of temporary records. [1228.60] PART 1227—GENERAL RECORDS SCHEDULES
- 1227.10
- Authority. [1228.40]
- 1227.12
- Applicability. [1228.42]
- 1227.14
- Availability. [1228.46] PART 1228—LOAN OF PERMANENT AND UNSCHEDULED RECORDS
- 1228.10
- Authority. [1228.70]
- 1228.12
- Approval. [1228.72]
- 1228.14
- Agency action. [1228.74]
- 1228.16
- NARA action on request. [1228.76]
- 1228.18
- Retrieval of records. [1228.78] PART 1229—EMERGENCY AUTHORIZATION TO DESTROY RECORDS
- 1229.10
- General provisions. [1228.90]
- 1229.12
- Menaces to human life or health or to property. [1228.92]
- 1229.14
- State of war or threatened war. [1228.94] PART 1230—DAMAGE TO, ALIENATION, AND UNAUTHORIZED DESTRUCTION OF RECORDS
- 1230.10
- Responsibilities. [1228.100]
- 1230.12 Criminal penalties. [1228.102]
- 1230.14
- Reporting. [1228.104]
- 1230.16
- Exclusions. [1228.106] PART 1231—TRANSFER OF RECORDS FROM THE CUSTODY OF ONE EXECUTIVE AGENCY TO ANOTHER
- 1231.10
- Authority. [1228.120]
- 1231.12
- Approval. [1228.122]
- 1231.14
- Agency request. [1228.124]
- 1231.16
- Agency concurrences. [1228.126]
- 1231.18
- Records of terminated agencies. [1228.128]
- 1231.20
- Equipment. [1228.130]
- 1231.22
- Costs of transfers. [1228.132]
- 1231.24
- Restrictions on use of records. [1228.134]
- 1231.26
- Exceptions. [1228.136] PART 1232—TRANSFER OF RECORDS TO RECORDS STORAGE FACILITIES
- 1232.10
- Where can a Federal agency transfer records for storage? [1228.150]
- 1232.12
- Under what conditions may Federal records be stored in records storage facilities? [1228.152]
- 1232.14
- What requirements must an agency meet when it transfers records to a records storage facility? [1228.154]
- 1232.16
- What procedures must an agency follow to transfer records to an agency records center or commercial records storage facility? [1228.156] PART 1233—TRANSFER, USE, AND DISPOSITION OF RECORDS IN A NARA RECORDS CENTER
- 1233.10
- How does an agency transfer records to a NARA records center? [1228.160]
- 1233.12
- How does an agency transfer vital records to a NARA records center? [1228.162]
- 1233.14
- What records must be transferred to the National Personnel Records Center (NPRC)? [1228.164]
- 1233.16
- How does an agency transfer records to the National Personnel Records Center (NPRC)? [1228.166]
- 1233.18
- How can records be used in NARA records centers? [1228.168]
- 1233.20
- How are disposal clearances managed for records in NARA records centers? [1228.170]
- 1233.22
- Transfer to and storage of electronic records in NARA records centers [New] PART 1234—FACILITY STANDARDS FOR RECORDS STORAGE FACILITIES Subpart A—General
- 1234.10
- What authority applies to this subpart? [1228.220]
- 1234.12
- What does this subpart cover? [1228.222]
- 1234.14
- Publications incorporated by reference. [1228.224] Subpart B—Facility Standards
- 1234.20
- What are the facility requirements for all records storage facilities? [1228.228]
- 1234.22
- What are the fire safety requirements that apply to records storage facilities? [1228.230]
- 1234.24
- What are the requirements for environmental controls for records storage facilities? [1228.232] Subpart C—Handling Deviations From NARA's Facility Standards
- 1234.30
- What rules apply if there is a conflict between NARA standards and other regulatory standards that a facility must follow? [1228.234]
- 1234.32
- How does an agency request a waiver from a requirement in this subpart? [1228.236]
- 1234.34
- How does NARA process a waiver request? [1228.238] Subpart D—Facility Approval and Inspection Requirements
- 1234.40
- How does an agency request authority to establish or relocate records storage facilities? [1228.240]
- 1234.42
- What does an agency have to do to certify a fire-safety detection and suppression system? [1228.242]
- 1234.44
- When may NARA conduct an inspection of a records storage facility? [1228.244]
Appendix A—Minimum Security Standards for Level III Federal Facilities [1228 Appendix A]
Appendix B—Alternative Certified Fire-safety Detection and Suppression System(s) [1228 Appendix B]
PART 1235—TRANSFER OF RECORDS TO THE NATIONAL ARCHIVES OF THE UNITED STATES
1235.10(a) Identifying and preserving. [1234.24(a)]
(b) Recordkeeping systems. [1234.24(b)]
(c) Copying. [1234.24(c)]
(d) Print and file. [1234.24(d)]
(a) Scheduling. [1234.32(a)]
(b) Records authorized for disposal in certain parts of the GRS are also authorized for disposal if they are in an electronic format. [New]
(c) Establishing. [1234.32(c)]
(d) Electronic mail. [1234.32(d)]
(e) Transferring. [1234.32(b)]
- 1242.1
- Scope. [1238.1]
- 1242.2
- Requests for assistance. [1238.2] PART 1244—INSPECTION AND STUDIES Subpart A—General
- 1244.10
- Authority. [1220.18 and 1220.50]
- 1244.20
- Purpose. [1220.52] Subpart B—Inspection Program
- 1244.30 Inspection process.
- [1220.54]
- 1244.32
- Inspection report. [1220.56]
- 1244.34
- Agency action plans and progress reports. [1220.58]
- 1244.36
- Follow-up notification and reviews. [1220.60] Subpart C—Studies Program
- 1244.40
- Studies process. [1220.54]
- 1244.42
- Studies report. [1220.56]
- 1244.44
- Agency action plans and progress reports. [1220.58]
- 1244.46
- Follow-up notification and reviews. [1220.60] PART 1246—NARA RECORDS MANAGEMENT REPORTING
- 1246.10
- Authority. [New]
- 1246.20
- Purpose. [New]
- 1246.30
- Reports to Congress. [1220.16]
- 1246.40
- Reports to Director of OMB. [1220.16]
[FR Doc. 04-5625 Filed 3-12-04; 8:45 am]
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