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[CITE: 36CFR1220]
[Page 526-532]
TITLE 36--PARKS, FORESTS, AND PUBLIC PROPERTY
CHAPTER XII--NATIONAL ARCHIVES AND RECORDS ADMINISTRATION
PART 1220--FEDERAL RECORDS; GENERAL
Sec.
1220.1 Scope of subchapter.
1220.2 Responsibility for records management programs.
Subpart A--General Provisions
1220.10 Authority.
1220.12 Applicability.
1220.14 General definitions.
1220.16 Reports to the Congress and the Director of the Office of
Management and Budget.
1220.18 Inspection of records subject to the Privacy Act of 1974.
Subpart B--Agency Records Management Programs
1220.30 Authority.
1220.32 Program content.
1220.34 Creation of records.
1220.36 Maintenance and use of records.
1220.38 Disposition of records.
1220.40 Liaison offices.
1220.42 Agency internal evaluations.
Subpart C--NARA Evaluation Program
1220.50 Authority.
1220.52 Purpose and scope.
1220.54 Evaluation process.
1220.56 Evaluation report.
1220.58 Agency action plans and progress reports.
1220.60 Followup notification and reviews.
Authority: 44 U.S.C. 2104(a) and chs. 29 and 33.
Source: 50 FR 26930, June 28, 1985, unless otherwise noted.
Sec. 1220.1 Scope of subchapter.
Subchapter B prescribes policies for Federal agencies' records
management programs relating to records creation and maintenance,
adequate documentation, and proper records disposition.
Sec. 1220.2 Responsibility for records management programs.
The National Archives and Records Administration Act of 1984 amended
the records management statutes to divide records management
responsibilities between the National Archives and Records
Administration (NARA) and the General Services Administration (GSA).
Under the Act, NARA is responsible for adequacy of documentation and
records disposition and GSA is responsible for economy and efficiency in
records management. NARA regulations are codified in this subchapter.
GSA records management regulations are codified in 41 CFR chapter 201,
Subchapters A and B. Federal agency records management programs must be
in compliance with regulations promulgated by both NARA and GSA.
[57 FR 19807, May 8, 1992]
Subpart A--General Provisions
Sec. 1220.10 Authority.
The regulations in this part are issued under the provisions of the
National Archives and Records Administration Act of 1984 (Pub. L. 98-
497, 44 U.S.C. 101 note).
Sec. 1220.12 Applicability.
The regulations in subchapter B apply to all Federal agencies as
defined in Sec. 1220.14.
Sec. 1220.14 General definitions.
As used in subchapter B--
Agency (see Executive agency and Federal agency).
Adequate and proper documentation means a record of the conduct of
Government business that is complete and accurate to the extent required
to document the organization, functions, policies, decisions,
procedures, and essential transactions of the agency and that is
designed to furnish the information necessary to protect the legal and
financial rights of the Government and of persons directly affected by
the agency's activities.
Appraisal is the process by which the National Archives and Records
Administration (NARA) determines the value and thus the final
disposition of Federal records, making them either temporary or
permanent.
Comprehensive schedule is a printed agency manual or directive
containing descriptions of and disposition instructions for all
documentary materials,
[[Page 527]]
record and nonrecord, created by a Federal agency or major component of
an Executive department. Unless taken from the General Records Schedules
(GRS) issued by NARA, the disposition instructions for agency records
must be approved by NARA on one or more Standard Form(s) 115, Request
for Records Disposition Authority, prior to issuance by the agency. The
disposition instructions for the nonrecord material are established by
the agency and do not require NARA approval.
Contingent records are records whose final disposition is dependent
on an action or event, such as sale of property or destruction of a
facility, which will take place at some unspecified time in the future.
Disposition means those actions taken, after appraisal by NARA,
regarding records no longer needed for the conduct of the regular
current business of the agency. 44 U.S.C. 2901(5) defines records
disposition as any activity with respect to:
(a) Disposal of temporary records no longer needed for the conduct
of business by destruction or donation to an eligible person or
organization outside of Federal custody in accordance with the
requirements of part 1228 of this chapter.
(b) Transfer of records to Federal agency storage facilities or
records centers;
(c) Transfer to the National Archives of the United States of
records determined to have sufficient historical or other value to
warrant continued preservation; or
(d) Transfer of records from one Federal agency to any other Federal
agency in accordance with the requirements of part 1228 of this chapter.
Documentary materials is a collective term for records and nonrecord
materials that refers to all media on which information is recorded,
regardless of the nature of the medium or the method or circumstances of
recording.
Evaluation means the selective or comprehensive inspection, audit,
or review of one or more Federal agency records management programs for
effectiveness and for compliance with applicable laws and regulations.
It includes recommendations for correcting or improving records
management policies, procedures, and activities, and follow-up
activities, including reporting on such activities, for implementing the
recommendations.
Executive agency means any executive department or independent
establishment in the executive branch of the Government, including any
wholly-owned Government corporation.
Federal agency means any executive agency or any establishment in
the legislative or judicial branch of the Government (except the Supreme
Court, Senate, the House of Representatives, and the Architect of the
Capitol and any activities under his direction). (44 U.S.C. 2901(14)).
File means an arrangement of records. The term is used to denote
papers, photographs, photographic copies, maps, machine-readable
information, or other recorded information regardless of physical form
or characteristics, accumulated or maintained in filing equipment,
boxes, or machine-readable media, or on shelves, and occupying office or
storage space.
National Archives of the United States means those records that have
been determined by the Archivist of the United States to have sufficient
historical or other value to warrant their continued preservation by the
Federal Government and that have been transferred to the legal custody
of the Archivist of the United States on a Standard Form 258 (Request to
Transfer, Approval, and Receipt of Records to National Archives of the
United States).
Nonrecord materials are those Federally owned informational
materials that do not meet the statutory definition of records (44
U.S.C. 3301) or that have been excluded from coverage by the definition.
Excluded materials are extra copies of documents kept only for
reference, stocks of publications and processed documents, and library
or museum materials intended solely for reference or exhibit.
Permanent record means any Federal record that has been determined
by NARA to have sufficient value to warrant its preservation in the
National Archives. Permanent records include all records accessioned by
NARA's Office of the National Archives and later increments of the same
records, and
[[Page 528]]
those for which the disposition is permanent on SF 115s, Request for
Records Disposition Authority, approved by NARA on or after May 14,
1973.
Recordkeeping requirements means all statements, in statutes,
regulations, and agency directives or authoritative issuances, providing
general and specific guidance for Federal agency personnel on particular
records to be created and maintained by the agency.
Recordkeeping system is a manual or automated system in which
records are collected, organized, and categorized to facilitate their
preservation, retrieval, use, and disposition.
Records include all books, papers, maps, photographs, machine
readable materials, or other documentary materials, regardless of
physical form or characteristics, made or received by an agency of the
United States Government under Federal law or in connection with the
transaction of public business and preserved or appropriate for
preservation by that agency or its legitimate successor as evidence of
the organization, functions, policies, decisions, procedures, operations
or other activities of the Government or because of the informational
value of the data in them (44 U.S.C. 3301).
Records maintenance and use, as used in subchapter B, means any
activity involving location of records of a Federal agency or the
storage, retrieval, and handling of records kept at office file
locations by or for a Federal agency.
Records management, as used in subchapter B, means the planning,
controlling, directing, organizing, training, promoting, and other
managerial activities involved with respect to records creation, records
maintenance and use, and records disposition in order to achieve
adequate and proper documentation of the policies and transactions of
the Federal Government and effective and economical management of agency
operations.
Records schedule or schedule means
(a) An SF 115, Request for Records Disposition Authority, that has
been approved by NARA to authorize the disposition of Federal records;
(b) A General Records Schedule (GRS) issued by NARA; or
(c) A printed agency manual or directive containing the records
descriptions and disposition instructions approved by NARA on one or
more SF 115s or issued by NARA in the GRS. (See also the definition
Comprehensive schedule.)
Series means file units or documents arranged according to a filing
system or kept together because they relate to a particular subject or
function, result from the same activity, document a specific kind of
transaction, take a particular physical form, or have some other
relationship arising out of their creation, receipt, or use, such as
restrictions on access and use. Also called a records series.
Temporary records. A temporary record is any record which has been
determined by the Archivist of the United States to have insufficient
value (on the basis of current standards) to warrant its preservation by
the National Archives and Records Administration. This determination may
take the form of:
(a) A series of records designated as disposable in an agency
records disposition schedule approved by NARA (Standard Form 115,
Request for Records Disposition Authority); or
(b) A series of records designated as disposable in a General
Records Schedule.
Unscheduled records are records the final disposition of which has
not been approved by NARA. Unscheduled records are those that have not
been included on a Standard Form 115, Request for Records Disposition
Authority, approved by NARA; those described but not authorized for
disposal on an SF 115 approved prior to May 14, 1973; and those
described on an SF 115 but not approved by NARA (withdrawn, canceled, or
disapproved).
[45 FR 5705, Jan. 24, 1980 and 50 FR 26931, 26933, June 28, 1985, as
amended at 52 FR 34134, Sept. 9, 1987; 55 FR 27423, 27427, July 2, 1990;
57 FR 19807, May 8, 1992; 59 FR 28783, June 3, 1994; 60 FR 44639, Aug.
28, 1995]
Sec. 1220.16 Reports to the Congress and the Director of the Office of
Management and Budget.
Under 44 U.S.C. 2904(c)(8), the Archivist of the United States is
required to report to Congress and the Office of Management and Budget
annually on
[[Page 529]]
the results of records management activities, including evaluations of
responses by Federal agencies to any recommendations resulting from
studies or inspections conducted by NARA.
Sec. 1220.18 Inspection of records subject to the Privacy Act of 1974.
In accordance with 44 U.S.C. 2906, when NARA inspects an agency
record which is contained in a system of records subject to the Privacy
Act of 1974 (5 U.S.C. 552a), the records shall be maintained by the
Archivist or his designee as a record contained in a system of records
or considered to be a record contained in a system of records for the
purposes of subsections (b), (c), and (i) of section 552a of title 5.
Subpart B--Agency Records Management Programs
Sec. 1220.30 Authority.
Section 3101 of title 44 U.S.C. requires the head of each Federal
agency to make and preserve records containing adequate and proper
documentation of the organization, functions, policies, decisions,
procedures and essential transactions of the agency and designed to
furnish the information necessary to protect the legal and financial
rights of the Government and of persons directly affected by the
agency's activities.
Sec. 1220.32 Program content.
Agency programs shall, among other things, provide for:
(a) Cooperation with NARA in developing and applying standards,
procedures, and techniques designed to improve the management of
records, promote the maintenance and security of records deemed
appropriate for permanent preservation, and facilitate the segregation
and disposal of temporary records.
(b) Compliance with sections 2101-2117, 2501-2507, 2901-2909, 3101-
3107, and 3301-3314 of title 44 U.S.C. and with NARA regulations issued
in title 36 of the Code of Federal Regulations.
Sec. 1220.34 Creation of records.
Adequate records management controls over the creation of Federal
agency records shall be instituted to ensure that agency functions are
adequately and properly documented. Federal agencies shall also comply
with GSA regulations on creation of records found in 41 CFR part 201-9.
[57 FR 19807, May 8, 1992]
Sec. 1220.36 Maintenance and use of records.
Adequate records management controls over the maintenance and use of
records shall be instituted to ensure that permanent records can be
located when needed and that they are preserved for eventual transfer to
the National Archives of the United States. Agencies shall also be in
compliance with GSA regulations on the maintenance and use of records
found in 41 CFR part 201-9.
[57 FR 19807, May 8, 1992]
Sec. 1220.38 Disposition of records.
Provision shall be made to ensure that permanent records are
preserved but that records no longer of current use to an agency are
promptly disposed of or retired. Effective techniques for the
accomplishment of these ends are the development of records disposition
schedules; the transfer of records to records centers and the National
Archives of the United States; the conversion of the information to
other media; and the disposal of valueless records. Disposition of any
records requires the approval of the Archivist of the United States (see
part 1228 of this chapter).
Sec. 1220.40 Liaison offices.
An office or offices within each Federal agency shall be assigned
responsibility for the development of the records management program
required by this part. The office to which responsibility is assigned
shall be reported to the Office of Records Administration, National
Archives (NIA), Washington, DC 20408. The name, title, and telephone
number of the official or officials authorized by the head of the agency
to approve records disposition schedules and transfers of records to the
custody of the National Archives shall also be submitted to the Office
of Records Administration.
[[Page 530]]
Sec. 1220.42 Agency internal evaluations.
Each agency shall periodically evaluate its records management
programs relating to records creation and recordkeeping requirements,
maintenance and use of records, and records disposition. These
evaluations shall include periodic monitoring of staff determinations of
the record status of documentary materials, including electronic mail,
and implementation of these decisions. These evaluations should
determine compliance with NARA regulations in subchapter B of this
chapter and assess the effectiveness of the agency's records management
program.
[60 FR 44639, Aug. 28, 1995]
Subpart C--NARA Evaluation Program
Source: 59 FR 28783, June 3, 1994, unless otherwise noted.
Sec. 1220.50 Authority.
44 U.S.C. chapter 29 vests in the Archivist of the United States the
responsibility for providing guidance and assistance to Federal agencies
with respect to ensuring adequate and proper documentation and proper
records disposition. Sections 2904 and 2906 specifically authorize the
Archivist to conduct inspections or surveys of records and records
management programs and practices within and between Federal agencies
and require officers and employees of agencies to cooperate fully in
such inspections. Section 2904 also authorizes the Archivist to report
to the appropriate oversight and appropriations committees of the
Congress and the Director of OMB on the results of inspections, the
responses by agencies to NARA evaluation recommendations, and estimates
of the costs to the Federal government resulting from the failure to
implement such recommendations.
Sec. 1220.52 Purpose and scope.
(a) NARA evaluations assess how effectively Federal agencies make
and preserve complete and accurate records of their organization,
functions, policies, decisions, procedures, and essential transactions;
and maintain an active, continuing records management program including
proper records disposition. Agencies shall be evaluated for compliance
with requirements in 44 U.S.C. chapters 31 and 33 and all the
regulations issued thereunder in 36 CFR subchapter B.
(b) NARA evaluations may include comprehensive reviews of agency
records management programs, or selective reviews focused on adequate
and proper documentation, on records disposition, on the management of
specific types of record media or on the management of records in
particular program areas. NARA evaluations may be of one agency or may
be multi-agency. These evaluations may be conducted solely within
headquarters offices, only at field locations, or at a combination of
field sites and headquarters.
(c) Evaluations will involve site visits by NARA; submission by NARA
to the agency of a written report containing findings, analyses, and
recommendations; and submission to NARA by the agency of an action plan
for implementing the recommendations followed by regular progress
reports. Interagency report control number 0153-NARA-AR has been
assigned to the action plan and progress reports in accordance with 41
CFR subpart 201-45.6.
Sec. 1220.54 Evaluation process.
(a) NARA shall select Federal agencies to be evaluated on the basis
of perceived need by NARA or specific request by the agency, or on the
basis of a compliance monitoring cycle developed by NARA. NARA will
determine the scope of the evaluation. An agency may request an
evaluation of its records management program by contacting the Assistant
Archivist for Records Administration; however, the final determination
of agencies to be evaluated will be made by NARA. The heads of agencies
will be notified in writing by the Archivist of the United States of the
intent to conduct an evaluation and the scope of the evaluation at least
180 calendar days prior to initiating the evaluation.
(b) Once NARA has notified the agency, the agency head will, by the
date specified in the Archivist's letter:
[[Page 531]]
(1) Acknowledge in writing NARA's intention to evaluate, and provide
the Archivist with the name and telephone number of the senior official
with overall responsibility for records management and of a headquarters
official who will work with NARA to facilitate the evaluation process;
(2) Provide written notification of the evaluation to all
appropriate offices and employees and contractors potentially involved;
this notification will include instructions to cooperate with NARA by
setting up interviews, providing requested information, and making
records available for inspection;
(3) Provide NARA with a copy of the written notification in
paragraph (b)(2) of this section and with a list of names and telephone
numbers of officials responsible for records management in field sites,
if applicable, who will work with NARA during the evaluation;
(4) For comprehensive evaluations, provide NARA with a set of
internal records management directives, orders, bulletins, or similar
authoritative issuances; copies of the two most recent internal records
management evaluations; and any special records-related reports.
Included may be: issuances relating to adequate and proper documentation
and recordkeeping requirements; personal papers; management and
disposition of textual, electronic, audiovisual, cartographic and
architectural, micrographic, and vital records; disaster mitigation and
recovery; and any other records-related documentation requested by NARA.
A subset of this documentation will be requested for more limited
evaluations;
(5) Provide NARA with a current version of the agency manual(s)
covering records creation, maintenance, storage, and disposition, and a
list of information systems maintained as required by OMB Circular A-
130, section 9a(5), and a list of offices and/or functions and
activities not currently covered by schedules;
(6) Arrange for appropriate management and program officials in
headquarters and, if applicable, at field sites to be briefed by NARA at
the beginning and at the end of the evaluation process; and
(7) Take immediate corrective action regarding any serious problems
that NARA may bring to the agency's attention during the course of the
evaluation process such as the unauthorized destruction of records or
the unauthorized donation or other transfer of records to non-NARA
facilities.
Sec. 1220.56 Evaluation report.
(a) NARA will submit a draft evaluation report for factual review
and comment to the agency within 120 calendar days of the last
evaluation site visit or exit briefing. After receipt of agency
comments, NARA will finalize the report, incorporating any changes
resulting from factual errors identified by the agency. The final report
will be transmitted by the Archivist to the head of the agency within 30
calendar days of receiving comments from the agency.
(b) The head of the agency will:
(1) Comment within 60 calendar days, in writing, on the contents of
the draft report. If necessary, agencies can request extensions. No
response from the agency within the allotted time will indicate that the
agency concurs in the factual accuracy of the draft report.
(2) Review the final report and assign implementation
responsibility; and
(3) Distribute the final report to all concerned and appropriate
persons and offices.
Sec. 1220.58 Agency action plans and progress reports.
(a) Action plans. (1) The action plan will be submitted to NARA
within 90 calendar days after the date of transmittal of the final
report. If necessary, agencies can request extensions. The plan shall be
submitted by the agency head or the designated senior official for
information resources management. The action plan will include:
(i) The name of the senior official and the office responsible for
coordinating implementation agency-wide;
(ii) The specific action(s) the agency will take to implement each
evaluation report recommendation. If an agency is unable to implement a
recommendation, the rationale for not acting shall be documented in the
action plan;
(iii) The name of the official and office or program responsible for
the
[[Page 532]]
overall coordination of the agency's followup actions who will be the
liaison with NARA;
(iv) The estimated time needed to complete each action and the
proposed quarter and year for starting and completing each action;
(v) Major milestones with dates for tracking the completion of
implementation actions that are expected to extend longer than 3 years
past the date of the action plan; and,
(vi) If requested by NARA, separate action plans for each field site
visited, incorporating the information required by paragraphs (a)(1)(i)
through (a)(1)(v) of this section.
(2) NARA will analyze the action plan(s) submitted by the agency for
adequacy and effectiveness in implementing the recommendations contained
in the evaluation report. NARA will provide comments to the agency on
the plan(s) within 60 calendar days.
(3) The agency will revise the action plan until it is approved by
NARA.
(b) Progress reports. (1) Once the action plan(s) has been approved
by NARA, the head of the agency will submit progress reports to NARA
every 6 months. The reports will include:
(i) A description of what has been accomplished on each action since
the last report;
(ii) The current status of the action;
(iii) Any changes in the offices or programs responsible for over-
all or specific action implementation; and,
(iv) If appropriate, explanation of any delays in implementation and
revised target dates and milestones for completion of the action.
(2) The agency will continue to submit these progress reports until
NARA and the agency agree all actions have been completed, NARA and the
agency agree that the agency has implemented the recommendation(s) to
the fullest extent possible, or NARA indicates in writing that regular
progress reports are no longer required.
(3) NARA will review and comment on agency progress reports, and
work closely with the agency to provide assistance in evaluation
implementation.
Sec. 1220.60 Follow-up notification and reviews.
(a) If NARA determines that there is not substantial progress in the
full implementation of evaluation recommendations or that the agency has
not corrected serious problems identified in the report, the Archivist,
after notifying the head of the agency, may notify Congress and
appropriate Federal oversight agencies of the evaluation findings and
the agency response.
(b) NARA may initiate follow-up reviews at specific offices or field
sites. Results of these follow-up reviews shall be communicated to the
head of the agency and, if NARA determines it to be appropriate, to
Congress and Federal oversight agencies.
[Code of Federal Regulations]
[Title 36, Volume 3, Parts 300 to end]
[Revised as of July 1, 1997]
From the U.S. Government Printing Office via GPO Access
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